Approving Third-Party Engagement Requests
Written by Michelle Henley
Updated at September 22nd, 2025
Table of Contents
An Approver is a user who is responsible for reviewing the requests that are submitted for their review and then take an action on them. Approvers are in Approver Groups that are defined by your organization during the initial implementation process.
Note: Depending on your organization's specifications during the onboarding process, wording and layout may vary. The instructions below are meant as a general guideline only.
How to Access Third-Party Requests Pending Your Approval
To access all Third-Party requests that are pending your approval, select Third-Party Management from the left navigation pane or the corresponding tile on the right. Once clicked, you will see a tab under Recent Due Diligence Activity called Approvals.
To access the request, click on the Request ID.
As an Approver there are several places to find information within a request. Click below to expand further information about navigating the request screen as an Approver.
Navigating Third-Party Due Diligence as an Approver
Once a request is submitted for approval there are several places within the system and the request where the submitter, approver, or an admin can find additional information about the request.
Note: Depending on your organization's specifications during the onboarding process, the tabs shown within the request and the exact wording of the tabs may vary. In this example, the tabs are named Request, Screening, Tasks, and Risk Score.
Click through the tabs below for more information on each tab.
Request Tab
1 |
Request Details Box | Displays the Request ID, Created Date, History Icon, Status, and Approver Flow information. |
2 |
Request History | Clicking on the Clock Icon within the Request Details box will display the entire history of the request. Click Here for detailed information on Request History. |
3 |
Request Status & Approver Flow | Details of the Approver Flow can be viewed by clicking on the Status Icon in the Request Details box. Click Here for detailed information on Status Types and the Approver Flow. |
4 |
View Business Rationale Form | Details of questionnaire completed by the submitter. |
5 |
DDQ Details | Displays what type of DDQ was sent, when, and the status. |
6 |
Uploaded Files | Files already uploaded. |
7 |
Trash Can Icon | Delete uploaded files. |
Screening Tab
1 |
Request Details Box | Displays the Request ID, Created Date, History Icon, Status, and Approver Flow information. |
2 |
Screening Results | Screening results. Potential Match, No Match, or Match will be displayed. |
3 |
Resolve Screening Button | Resolve Screening Button. Click here for more information on screening and how to resolve matches. |
| 4 | Print Button | Print task list button. Click here for more information on print functionality within the system. |
Tasks Tab
1 |
Request Details Box | Displays the Request ID, Created Date, History Icon, Status, and Approver Flow information. |
2 |
Create New Tasks | Create a new task button. |
3 |
Assigned Tasks | Assigned tasks associated with the specific request. Click here for more information on Creating New Tasks and Assigned Tasks. |
4 |
Print Button | Print task list button. Click here for more information on print functionality within the system. |
Risk Score Tab
1 |
Request Details Box | Displays the Request ID, Created Date, History Icon, Status, and Approver Flow information. |
2 |
Risk Score | Total Risk Score calculated by Criteria |
3 |
Risk Score Criteria | Criteria used to calculate the total Risk Score |
| 4 | Print Button | Print task list button. Click here for more information on print functionality within the system. |
Tasks
Tasks
Tasks Users within the system can assign tasks to others or themselves. Tasks can
Admin Information for Tasks
Task Privileges
Users must have the correct privilege (s) assigned to view and/or create tasks within the system.
The following privileges are related to tasks. To add, remove, or modify privileges please contact the User Admin for your organization.
| Privilege Name | Description |
|---|---|
| Create Tasks | Gives user ability to see the Tasks link in the left navigation bar on the main Gateway landing page. Also, gives user ability to see the Tasks tab in the Action Items table. Gives user capability to create tasks in the system. |
| Edit All Tasks | Gives user ability to see the Tasks link in the left navigation bar on the main Gateway landing page. Also, gives user ability to see the Tasks tab in the Action Items table. Gives user capability to update, cancel, or reopen any tasks that are in Draft, In Progress, Completed, or Canceled status. |
| Preview Party Tasks | Gives user capability to see the tasks table from the profile page for a Third Party. The user will be able to open task details for any task where this user is a task creator or task assignee. |
| Preview Request Tasks | Gives user capability to preview all tasks in the Task table (created by other users) but not open details. |
| View All Request Tasks | Gives user capability to see and open the details for any task created in a request and assigned to any user. |
| View All System Tasks | Gives user ability to see the Tasks link in the left navigation bar on the main Gateway landing page. Also, gives user ability to see the Tasks tab in the Action Items table. Gives user capability to see ALL tasks in the system. |
| View My Request Tasks | Gives user capability to see and take action on any task assigned to you to see the details. |
| View Tasks Page | Gives user ability to see the Tasks link in the left navigation bar on the main Gateway landing page. Also, gives user ability to see the Tasks tab in the Action Items table. |
Creating and Assigning Tasks
With or Without a Request ID
Creating and Assigning Tasks
How to Create & Assign a New Task (without a Request ID)
First, click on Tasks from the left navigation menu.
Note: Users must have the View Tasks Page privilege to see the task link in the left navigation menu. To add, remove, or modify privileges please contact the User Admin for your organization.
Next, click Create Task.
The Create Task modal will open.
If the Task Assigner and Assignee are the same person, the details field will change to an Assignee Response field. However, if the Task Assigner differs from the Assignee, the details field will be called Details.
Related Party is optional, but to select a party, begin typing in the Related Party field and choose from the drop-down list.
Note: The Individuals and Organizations drop-down list is populated from master data.
When creating a task, a user can add attachments by clicking the Add File(s) button.
Uploaded files can be deleted before and after task submission by clicking on the Trash Can Icon next to the file you want to delete and then confirming your action by clicking Yes.
Note: Multiple files can be uploaded for a single task, however, executable files or files larger than 50 megabytes cannot be submitted.
Both the assignor and assignee have the option to add Tags in the freeform text field. Tags will be saved in the drop-down menu for future use.
If the user is assigning the task to themselves, there is the option to Cancel, Save as Draft, Assign Task, or Complete.
However, if the user is assigning the task to someone else, there is the option to Cancel, Save as Draft, or Assign Task.
Once Assign Task is clicked, the system will: a
- Submit the task for review.
- Send an email to the assignee.
- Change the task status to In Progress.
- Redirect the user to the main Tasks page. If the task was assigned to yourself you will see the task in the My Tasks tab. If the task was assigned to another user, the task will be visible in the My Tasks for Others tab.
How to Create & Assign a New Task (with a Request ID)
Note: The following tasks are associated with viewing and/or creating tasks within requests. To add, remove, or modify privileges please contact the User Admin for your organization.
| Privilege Name | Description |
|---|---|
| Create Tasks | Gives user ability to see the Tasks link in the left navigation bar on the main Gateway landing page. Also, gives user ability to see the Tasks tab in the Action Items table. Gives user capability to create tasks in the system. |
| Preview Request Tasks | Gives user capability to preview all tasks in the Task table (created by other users) but not open details. |
| View All Request Tasks | Gives user capability to see and open the details for any task created in a request and assigned to any user. |
| View My Request Tasks | Gives the user the capability to see and take action on any task assigned to the user. |
| View Tasks For Others | Gives the user the capability to view tasks that are assigned to others. |
To create a task associated with a specific request, you must first open the request you wish to link to the task. Then, from the View Request screen, click on the Tasks tab.
In the Tasks tab, click Create Task.
The Create Task modal will open.
If the Task Assigner and Assignee are the same person, the details field will change to an Assignee Response field. However, if the Task Assigner differs from the Assignee, the details field will be called Details.
Related Party is optional, but to select a party, begin typing in the Related Party field and choose from the drop-down list.
Note: The Individuals and Organizations drop-down list is populated from master data.
When creating a task, a user can add attachments by clicking the Add File(s) button.
Uploaded files can be deleted before and after task submission by clicking on the Trash Can Icon next to the file you want to delete and then confirming your action by clicking Yes.
Note: Multiple files can be uploaded for a single task; however, executable files or files larger than 50 megabytes cannot be submitted.
Both the assignor and assignee have the option to add Tags in the freeform text field. Tags will be saved in the drop-down menu for future use.
If the user is assigning the task to themselves, there is the option to Cancel, Save as Draft, Assign Task, or Complete.
However, if the user assigns the task to someone else, there is the option to Cancel, Save it as a Draft, or Assign Task.
Once Assign Task is clicked, the system will:
- Submit the task for review.
- Send an email to the assignee.
- Change the task status to In Progress.
- The task will be displayed along with any previously assigned tasks in the Task tab.
General Task Instructions
Task History & Version Comparison
Task History & Version Comparison
Task History
Open the task and click the History tab at the top.
When a task is created, assigned, updated, reassigned, canceled, or completed, the action is recorded in the history.
Note: Tasks created prior to the release of this feature (March 2023) will not track the first action taken from this point forward. Task history will begin on older tasks with the second action taken from this release going forward. Historical actions prior to the release will not be tracked.
Task Version Comparison
Task Version Comparison allows users to view and compare historical changes within a task.
Note: The task Version Comparison tool is available to the Assignee, Assignor, or Task Admin.
Note: Version comparison is only available on tasks created after this feature was released to production (September 2023).
A checkbox is displayed to the left of each action in the Task History.
To compare versions, the user must select two checkboxes. Then, click Compare.
From there, the Task Revision Comparison page will open in a new tab. Anything highlighted in red was changed or removed, while anything highlighted in green was added.
Searching for a Task
Searching for a Task
Click on Tasks in the left navigation menu to view assigned tasks, whether they are for you or assigned by you to others.
Note: Users must have the View Tasks Page privilege to see the task link in the left navigation menu. To add, remove, or modify privileges please contact the User Admin for your organization.
From the Tasks page, there is a tab for My Tasks, My Tasks for Others, and View All Tasks.
Note: The View All Tasks tab is only displayed if a user has the View All System Tasks and/or Edit System Tasks privilege(s).
Use the search tool to search for a task or pagination to go forward/backward through pages.
Tasks associated with a Request ID can be found within the request details in the Tasks tab.
How to Update or Reopen a Task
How to Update or Reopen a Task
By default, users with the Task Admin role have the privileges to Create Tasks and Edit all Tasks. To add, remove, or modify privileges please contact the User Admin for your organization.
Who can update tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
Note: Updating a completed or canceled task reopens the task and moves the status back to In Progress.
To update the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Once changes are made, click Assign Task.
Once Assign Task is clicked, the system will:
- If the Assignor updates the task, an email will be sent to the Assignee to let them know the task has been updated.
- If a Task Admin updates the task, an email will be sent to both the Assignee and the Assignor to let them know the task has been updated.
How to Cancel a Task
How to Cancel a Task
By default, users with the Task Admin role have the privileges to Create Tasks and Edit all Tasks. To add, remove, or modify privileges please contact the User Admin for your organization.
Who can cancel tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
Note: To cancel a completed task, an assignor or task admin must first update the task to move it back to In Progress and then cancel it.
Open the task you wish to cancel. In the top right corner of the task, click the Oval Icon with three dots and select Cancel.
A Cancel Task modal will ask the user to confirm they want to cancel the task.
Once Confirm is clicked, the system will:
- If the Assignor cancels the task, an email will be sent to the Assignee to let them know the task has been canceled.
- If a Task Admin cancels the task, an email will be sent to the Assignee and the Assignor to let them know the task has been canceled.
Reassigning a Task
Reassigning a Task
By default, users with the Task Admin role have the privileges to Create Tasks and Edit all Tasks. To add, remove, or modify privileges please contact the User Admin for your organization.
Who can reassign tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
To reassign the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Update the Assignee field and click Assign Task.
Once Assign Task is clicked, the system will:
- Send an email to both the old and new Assignee to inform the user that the task has been reassigned.
Assigning a Task on Behalf of Another User
Assigning a task on behalf of another user
By default, users with the Task Admin role have the privileges to Create Tasks and Edit all Tasks. To add, remove, or modify privileges please contact the User Admin for your organization.
Who can change the Assigned From field on a task?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| Draft/New | X | X | ✔ |
| In progress | X | X | ✔ |
| Completed | X | X | ✔ |
| Canceled | X | X | ✔ |
While creating new tasks, task admins have the option to choose the Assigned From user from the dropdown list populated from master data and assign the task on behalf of another user.
Or to reassign the Assigned From on an existing task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Update the Assigned From field from the dropdown list and click Assign Task.
Once Assign Task is clicked, the system will:
- An email will be sent to both the Assignor and the Assignee that the task has been assigned.
Automated Tasks
Task Automation for Third-Party Renewals
Automated Tasks for Third-Party Renewals
Once configured, when a TPM engagement is Approved or Approved with Conditions, an automated task will be created by the system and will be assigned to the submitter.
Note: A 1-2 minute delay may exist between the time the request is approved and when the task is created.
The automated task will be assigned from System User and an email notification is sent to the submitter to let them know that an automated task has been assigned to them. The email will contain a link to access the task.
Additionally, the automated task is tied to the original Request ID and can be accessed within the request by clicking on the Tasks tab.
The title of the task will be Third-Party Renewal and the Due Date of the task will match the expiration date of the engagement.
Automated tasks are also displayed in the Tasks section of the Gateway under My Tasks.
When an automated task is created, the Task History records the action based on when it was auto-created.
Reminder Emails
Automated tasks are included in reminder emails once they are within 90 days of the task due date.
Updates to Engagements or Tasks
- If the expiration period of an engagement changes after full approval, through an update to the engagement, the existing task is updated with the new expiration period.
The update is also logged in the Task History.
- If an approved engagement is updated and reapproved, but the corresponding automated task is already marked as completed or canceled, the task is restarted and the due date is updated to correspond with the updated engagement.
The update is logged in the Task History by System User.
- If the submitter is reassigned after the approval of an engagement, the corresponding automated task has to be manually reassigned to the new submitter.
Task Admins
-
Users with the Edit All Tasks privilege (Task Admin) can update any field within automated tasks, including the assigned from and due date fields.
- If the task has been updated by the Task Admin and the engagement is updated and reapproved, any changes made by the Task Admin will remain unchanged. Only the due date of the task will update to correspond with the updated engagement.
Mitigation Tasks
Mitigation Tasks
Mitigation Tasks
What is a Mitigation Task?
This feature allows tenants to easily identify any requests/disclosures with an active mitigation task at the time of final approval. This helps to 1. accommodate our tenants’ existing internal processes whereby engagements/disclosures can be approved subject to certain conditions and 2. provide tenants with more visibility into these higher-risk engagements/disclosures.
When approving a request or disclosure, an approver may feel that certain steps must be taken to mitigate the risk presented to the organization. To ensure that any concerns are addressed, approvers can assign a mitigation task before approving the request.
How to Create a Mitigation Task
Who can create mitigation tasks?
Approvers can create mitigation tasks for any assigned request if they have the Create Tasks privilege. Admins can also create mitigation tasks if they have the View All Requests and Create Tasks privileges. Note: To add, remove, or modify privileges please contact the User Admin for your organization.
To create a Mitigation Task, choose Mitigation from the dropdown list in the Category field.
When a mitigation task is added to a disclosure or request, the following rules apply:
If the mitigation task is added to a request or disclosure that is still In Progress
| The mitigation task is added to a request → | then the request is Cleared or Approved → | then the request status will be Cleared with Conditions or Approved with Conditions |
| The mitigation task is canceled before → | the request is Cleared or Approved then → | the request status will be Cleared or Approved |
If the mitigation task is added to a request or disclosure that is already Fully Approved:
| The request is Cleared or Approved → | then the mitigation task is added to a request → | the request status will automatically change from Cleared or Approved to Cleared with Conditions or Approved with Conditions |
| The request is Cleared or Approved → | then the mitigation task is added to a request and then is canceled → | the request Status will remain as Cleared with Conditions or Approved with Conditions |
If the mitigation task was added to the request while the request or disclosure is still In Progress, but then the request is Cleared with Conditions or Approved with Conditions:
| The mitigation task was added to the request, and then the request was Approved with Conditions or Cleared with Conditions → | then the task is canceled → | the request Status will remain as Cleared with Conditions or Approved with Conditions |
If the mitigation task is added to a request or disclosure after it was already fully Approved and the request is Resubmitted:
| The request is Cleared with Conditions or Approved with Conditions and → | the mitigation task is canceled → | then when the request is reapproved, the status will be Cleared or Approved |
Click here for more information on Cleared with Conditions and Approved with Condition status types.
Screening through RDC
Note: For TPM engagements, screening results may come from the BRQ and the DDQ. Depending on your organization's configurations, approvers may not be able to move forward with approvals unless the screening results are resolved. However, approvers may be able to move forward if the DDQ is not completed by the third party and subsequently screened. In other words, the request can be approved before the DDQ is submitted and screened.
If the BRQ is already approved, any additional screening results that come from the DDQ will not change the status of the BRQ. The request will remain in approved status.
Requests with Screening
Customers with screening configured through either RDC or Refinitiv will have the
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).
Screening through LSEG (fka Refinitiv)
Note: For TPM engagements, screening results may come from the BRQ and the DDQ. Depending on your organization's configurations, approvers may not be able to move forward with approvals unless the screening results are resolved. However, approvers may be able to move forward if the DDQ is not completed by the third party and subsequently screened. In other words, the request can be approved before the DDQ is submitted and screened.
If the BRQ is already approved, any additional screening results that come from the DDQ will not change the status of the BRQ. The request will remain in approved status.
Requests with Screening through LSEG (fka Refinitiv)
Customers with In-Request screening configured through LSEG (fka Refinitiv) will be able to view and take action on screening results directly from within the request. Any Party (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 is submitted, the screening results for each recipient in a multi-recipient request will be indicated by a flag icon 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.
Depending on the screening results, the flag will be displayed as follows:
| Icon | Meaning |
|---|---|
| No Flag | There are no potential matches |
|
There are unresolved matches |
|
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 a Name in the first column.
Once a Name is clicked, the following screen will display the screening result information generated by LSEG.
Click through the tabs at the top of the screen to view Key Data, Further Information, Aliases, Keywords, Connections/Relationships, and Sources.
Note: Some original source hyperlinks within the Sources tab may be outdated.
Click Back to return to the list of all Screening Matches.
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.
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 LSEG for re-screening. If no new results for the recipient are found, 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.
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 for 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 50 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 a .xlsx file.
Results are returned in a .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.
FAQ
Error Message for Unavailable Results (LSEG fka Refinitiv Only)
The system will display the following message if a previously matched party profile is removed on the LSEG side.
Risk Score/Risk Level
Engagement Risk Score & Risk Level
E ach engagement created with a Third-Party within the Third Party Management (TP
Each engagement created with a Third-Party within the Third Party Management (TPM) product is scored based on the responses to the questions in the Business Rationale Questionnaire (BRQ) and Due Diligence Questionnaire (DDQ).
Note: Depending on your organization’s specifications during our onboarding, variations in how Risk Scoring works for your organization may exist. The instructions below are meant as a general guideline only.
Risk Score Privilege
In order to view the Risk Score/ Risk Level an approver or an admin must have the following privilege:
| Privilege Name | Description |
|---|---|
| Adjust engagement risk score | Gives the user the capability to view and adjust the risk score assigned to a Third-Party engagement. |
| View engagement risk score | Gives the user the capability to view the risk score assigned to a Third-Party engagement. |
How to View Risk Score & Risk Level within a Request
First, to locate the Risk Score of a particular engagement, click the Risk Score tab within the TPM request.
Answers from both the Business Rationale Questionnaire (BRQ) and the Due Diligence Questionnaire (DDQ) are used to calculate the score for the Risk Areas.
Each Risk Area can be expanded by clicking on the Down Arrow to the left of the Risk Areas. When expanded, the Risk Area scores applied to each question of the BRQ and DDQ are displayed. The third column from the left shows which questionnaire the response was provided (Either the BRQ or Ethics and Integrity Questionnaire (DDQ).
The scores for the Risk Areas are then used to calculate the Overall Risk Score and Risk Level.
Note: The Risk Score on the left is used to calculate the Risk Level on the right. 0 being the lowest possible score and 5 being the highest possible score.
How is the Risk Area, Risk Score, and Risk Level calculated?
Note: Note the following configurations are possible within the system, however, specific methodology is configured for your organization during the onboarding process and may vary.
- Each Engagement in the Third-Party Management product must be risk scored. Risk scoring cannot be turned off in the system.
- Questions from both the Business Rationale Questionnaire (BRQ) and the Due Diligence Questionnaire (DDQ) are used to calculate the score for the Risk Areas.
- The default risk scoring configuration takes into account the most commonly used questions across our multiple clients.
- Conditional questions can be included in risk scoring. However, they will be treated as NULL/None.
- Risk Score, Risk Level, or Risk Area cannot be adjusted by a user manually, unless the user has the Adjust Risk Score privilege.
Risk Areas, Profile%, and Profile+ Risk Score Configuration
Tenants can have any number of Risk Areas, which can be named based on Tenant preference.
As a baseline, we offer the following Risk Areas:
- Ethics & Compliance (combined or separated below)
- Anti-Bribery & Anti-Corruption
- Animal Welfare
- Competition
- Patient Safety
- Anti-Money Laundering
- Trade & Export Controls
- Off-Label Promotion
- Privacy and Information Security (combined or separated below)
- Privacy
- Information Security
- Human Rights & Labor
- Health & Safety
- Environment & Sustainability
- Operational & Financial
- Legal
- Financial
- Business Continuity
- Political
Once the Risk Areas are selected by the tenant, the questions from the Business Rationale Questionnaire (BRQ) and the Due Diligence Questionnaire (DDQ) are then mapped to one or more selected Risk Areas.
Next, when configuring an organization's Profile% and Profile+ Risk Score, tenants will be asked to give a score to each Country, Third-Party Type, Business Unit, and more.
In addition to the score, Profile% and Profile+ can be configured to add absolute points to the weight score of answers provided within BRQ and DDQ. Giving a BRQ or DDQ element an additional score through the Profile+ Components ensures that higher risk scenarios are correctly identified.
The final Risk Results Score of the BRQ and DDQ answers are used to calculate the Risk Area score. Note: If the same question is scored in different Risk Areas the highest score is applied.
The Overall Risk Score is then calculated based on all the Risk Area scores. The weight of each Risk Area Score is determined by the tenant. For example, 25% Bribery & Corruption, 25% Sanctions & Trade, 30% Information Security & Data Privacy, and 20% Reputational & Legal.
The Overall Risk Score on the left is used to calculate the Risk Level on the right. 0 being the lowest possible score and 5 being the highest possible score.
Once the Approver is viewing the request awaiting approval, the following actions are possible:
Approve the Request
Approving the Request
Approvers should first review the details of the request by clicking on View Business Rationale Form.
A pop-up window will open with all the questionnaire responses provided by the Submitter for the request.
After reviewing the details, click on Approve Engagement to approve the request.
An Approve Engagement pop-up window will open. The Approver can provide comments and click Confirm to approve the request.
If subsequent approvals are still required, an email notification will be sent to the next Approver, who will then have the same Approve, Reject, and Request Update actions available.
Reject the Request
Rejecting the Request
After reviewing the request details, a request can be rejected by clicking on the Gray Icon containing three dots next to the Approve Engagement button and then selecting Reject Engagement.
A Reject Engagement pop-up window will open. The Approver will be required to provide comments before they can click the Confirm button to reject the request.
Once a Third-Party request is rejected:
- The system will send an email notification to the Submitter that the request has been rejected.
- The request will be moved to Completed status
- The request will be viewable to both Submitter and the Approver in read-only mode.
Note: Once the request is rejected the request cannot be restored. If the request was rejected in error, the submitter will need to recreate the request.
Request an Update to the Request
Requesting an Update from the Submitter
After reviewing the request details, an Approver can request the Submitter to update the request by clicking on the Gray Icon containing three dots next to the Approve Engagement button and then selecting Request Update.
A Request Update pop-up window will open. The Approver will be required to provide comments before they can click the Confirm button to send the request back to the Submitter for updating.
Clicking Confirm will move the request into Update Pending status and the Submitter of the request will be notified via email that an update has been requested by the Approver.
Send Due Diligence Questionnaire
Send a Due Diligence Questionnaire (DDQ)
Due Diligence Questionnaire (DDQ) Privilege
Approvers with the Send DDQ privilege can send the Due Diligence Questionnaire (DDQ) to the Third-Party contact entered in the initial Business Rational Form by the Requester. To add or remove the Send DDQ privilege for an Approver, please contact your organization’s User Administrator.
To send a Due Diligence Questionnaire to the Third-Party, click the Send DDQ button on the approver screen.
A Request Questionnaire pop-up will open. Select the Due Diligence Questionnaire you want the Third-Party contact to fill in and click Send.
When you send the DDQ:
- An entry will be created for the questionnaire, which will be in New status.
- The Third-Party contact will receive an email notification requesting them to submit a Due Diligence Questionnaire with information on logging in and completing the questionnaire. See further instructions for Third-Party Contacts in Third Party Login.
When a Third-Party contact starts to fill in the Due Diligence Questionnaire, the questionnaire's status will change to In Progress. It will move to Completed when the Third-Party contact submits the DDQ. Approvers with Send DDQ access can see the completed responses by clicking on Third Party Due Diligence Questionnaire.
Request an Update to the Questionnaire
Request an Update from a Third Party to a Questionnaire
Requesting an Update from a Third-Party
Approvers with the Send DDQ privilege can also request an update from the Third-party by clicking on the Gray Icon next to the status and selecting Request Update. To add or remove the Send DDQ privilege for an Approver, please contact your organization’s User Administrator.
When you click Request Update, enter why you need the Third-Party contact to update the DDQ in the comments. Click Confirm after adding your comments.
Blocking a Third-Party
Blocking a Third-Party
In some cases, an organization may choose to block a Third-Party so that they cannot be used for any future engagements.
To block a Third-Party, select the Block Third Party option in the Reject Engagement pop-up window
This action will put the Third-Party in a Blocked status.
Next time, if a User searches for the same Third-Party, it will appear in the search but will not be selectable. Blocked text will be displayed if a User hovers over the blocked Parties' name.