About Screening Results
Overview
The Third-Party Due Diligence module includes screening results provided by the Dow Jones database. Once a third-party record is created, Dow Jones runs a real-time screening of the organization or person to help identify risks such as adverse media, politically exposed persons (PEPs), and sanctions data.
To access screening results
Reading Screening Results
A third party record's Screening Results appear under the Organization tab, or the Person tab.
To learn about screening results column functions, see the table below.
Organization and Person Tab Column Descriptions
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Column Name |
Description |
Organization Tab |
Person Tab |
|---|---|---|---|
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Status |
The status of the profile match. Available statuses include:
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Monitoring Alerts |
Indicates if monitoring alerts are enabled for the corresponding profile ID. If monitoring is on, new matched profiles will be added as they’re found. Confirmed matches will be monitored for new risks. Dismissed matches will be permanently cleared from future monitoring alerts. |
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Date of Result |
The date the screening was run and the match details provided by Dow Jones. |
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Profile ID |
Displays the Profile ID that can be used to navigate users to the Screening Results Details screen to view more details surrounding the Dow Jones match. The Screening Results Details screen includes Profile Match Data, Risk Category Details, Relationships, and other helpful details. |
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Match Percent |
The likelihood the match provided by Dow Jones is correct. OneTrust's default setting for match percentage is set to Near. This means that only matches with a 70% match or higher will be included in the Screening Results. |
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Screened Name |
The name used to create the third-party record. This is the name submitted to Dow Jones for screening. |
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Matched Profile |
The name of the profile that matched based on the screened name. You can dismiss or confirm matches to records that have been screened by Dow Jones. For more information, see Managing Screening Matches. |
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Country |
A required field that shows the country associated with the screening result. This field is used to help reduce the number of results based on the Dow Jones screening. |
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Gender |
The gender of the third-party. |
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Date of Birth |
The date of birth of the third-party. |
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Risks Flagged |
A high-level overview of the risks flagged on the record. You can hover over the flag to view more details about the risk identified. The risks flagged directly correlate with the Dow Jones risk classifications. OneTrust will send alerts via email and in-app notifications when a new risk is identified on a match. The alert allows you to access a summary of newly surfaced risks. |
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Total Risks Identified |
The total number of risks identified for the matched profile. |
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Result Type |
Results related to screening requests or monitoring alerts of third-parties and linked-entities. |
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Reason |
Displays data associated with matches that are dismissed. For more information, see Managing Screening Matches. |
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Comments |
Displays information added by the user when a match has either been Confirmed or Dismissed. |
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Documents |
Provides links to documents uploaded by a user when a match has been Confirmed or Dismissed. |
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To access screening results details
Reading Screening Results Details
You can use the following tabs to view screening results details:
Profile Details
The profile details tab contains the following sub-categories where you can view screening data:
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Profile Match Data |
Displays additional information about the Dow Jones match. It includes profile identification, registration, address, and industry details.
Note:
Inactive Risks will still generate corresponding risk attribute flags until further updates are implemented. |
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Risk Category Details |
Provides a clear picture of the specific risks flagged during the Dow Jones screening. These details drill down into the risks that are present with the third-party record. |
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Relationship |
Provides different profiles that are related to the main third-party record. |
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Profile History |
Lists monitoring alerts for the risk profile from most to least recent. |
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Associated Entities |
Displays additional information about a profile's associated entities. A profile must contain associated entities in order for this tab to display. |
Watchlist
The Watchlist tab displays sanctions and exclusion lists that the third-party record has appeared in. The tab contains the following subsections where you can view screening data:
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Name |
Description |
|---|---|
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Watchlist Notes |
Contains notes from Dow Jones and a list of sources associated with the screened third party. |
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Watchlist Identification details |
Provides a brief summary about the watchlist where the organization or person has been listed. |
State Owned Company
If the organization is a state owned company, it will appear on the State Owned Company tab. The tab displays related state owned company profiles.
Only an organization third-party type can be associated with a state owned company.
PEP/RCAs
The PEP/RCAs tab displays a list of politically exposed persons (PEPs) and relative or close associate (RCAs).
Only a person third-party type can be associated with a PEP/RCA.
Adverse Media
The Adverse Media tab lists out adverse media related to the record. The data is structured differently for organizations and person types. See the table below for column names and descriptions in the Adverse Media tab.
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Column Name |
Description |
Organization |
Person |
|---|---|---|---|
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Name |
The name of the adverse media company. |
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Date |
The date of the adverse media publication. |
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Language |
The language used to create the adverse media. |
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Parent Content Type |
The parent content type for the adverse media found. |
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Content Type |
The type of adverse media found. |
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Snippet |
A brief, contextual summary of the Factiva adverse media article with details associated with the profile match. |
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Source |
A link to the Factiva source articles for the profile match. |
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Government Action |
Indicates whether the adverse media is the result of a government action. |
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You must have a Factiva reader license to access the full content of the adverse media articles. Only one Factiva Readers License is issued per customer that purchases a screening subscription. You can purchase additional licenses directly from Dow Jones.
Reading Risk Codes
The table below identifies and describes the risk codes, risk level, and flag color associated with Dow Jones risk categories.
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Risk Code Name |
Description |
Dow Jones Risk Category |
Level |
Level Color |
|---|---|---|---|---|
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VRMEngagementDeleteTasks |
engagements.tasks.delete |
Engagement Documents Tab |
EngagementDocumentsTab |
engagements.documents.view |
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Other Exclusion List (OEL) |
Appears when there is a match of organizations or people that are included on various exclusion lists beyond the commonly known sanctions lists. |
Watchlist |
High |
Red |
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Other Official List (OOL) |
engagements.attachments.edit |
Watchlist |
High |
Red |
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Sanctions |
Engagement Add Tasks |
Watchlist |
Critical |
Dark Red |
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Sanctions Control Ownership (SCO) |
VRMEngagementAddTasks |
Watchlist |
Critical |
Dark Red |
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Board Member (BM) |
engagements.tasks.create |
State owned company |
Medium |
Yellow |
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State-Owned Company (SOC) |
Engagement Advance Workflow Stage |
State owned company |
Critical |
Dark Red |
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Relative or Close Associate (RCA) |
VRMEngagementAdvanceWorkflowStage |
PEP/RCA |
Medium |
Yellow |
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Politically Exposed Person (PEP) |
engagements.workflows.stages.advance |
PEP/RCA |
High |
Red |
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Adverse Media (Organization) |
Engagement Assessments Tab View |
Adverse media |
Medium |
Yellow |
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Adverse Media (Person) |
EngagementAssessmentsTabView |
Adverse media |
Medium |
Yellow |
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Enhanced Country Risk |
Note:
engagements.assessments.view |
None |
High |
Currently unavailable |