Answers to Commonly Asked Denied Party Screening Questions
Q: Who has the ultimate responsibility for Denied Party Screening: Exporters or intermediaries such as freight forwarders?
A: All Principal Parties of Interest (PPIs) in a transaction should screen for denied parties. This includes exporters, forwarders and agents. For example in the U.S., forwarders and agents have compliance responsibilities under the Export Administration Regulations (EAR) even when their actions are dependent upon information or instructions given by those who use their services. Exporters should also know that even if they hire an intermediary, they are not relieved of their compliance responsibilities.
Although companies must not do business with denied parties to avoid violations, the methodology they use to accomplish this task is up to the business.
Q: If a person or entity is known as more than one name or has aliases, do we need to provide these names within the web-based Descartes MK Denial.com™ system? Or will the solution provide known aliases back to the user?
A: The system does have capabilities to suggest many Also Known As (AKA) details. This is one of the core capabilities of the solution to help reduce risk. The initial details must first be provided in a search field and potential matches, including possible aliases, will be suggested to help the user perform further search refinement.
In addition, if a result is found, users can then drill down into the results to discover if the aliases and companies offered are applicable. For example, the solution may provide U.S. Federal Register (FR) notices associated with a given entity. Users can then review the complete government notice to determine if an AKA is, in fact, a match.
Q: How do you maintain an audit trail using the Descartes MK Denial solution?
A: The solution includes a Search Log functionality. From within this option, a user has the ability to review all of the previous searches performed and the results returned. Prior results can also be further refined by a given timeframe or users may choose to view a complete log of all searches performed since implementation. This not only helps to jumpstart workflow, but can also serve to demonstrate reasonable care should a potential issue arise.
The search logs can also be exported to a Comma Separated Value (CSV) format and then saved in a number of formats for recordkeeping. The administrator, or parent account, can view the Search Log of any child accounts.
Q: Can I use the Descartes MK Denial.com training videos if my company is a Descartes MK Denial client, but I am not a system user?
A: Our training videos are designed to help existing users derive maximum value from the applications, however we would suggest that you attend one our monthly training sessions on the Descartes MK Denial.com solution. To register, please visit www.mkdataservices.com. The training sessions can also help potential clients decide if the solution is the right match for a business. In addition to Descartes MK Denial.com, there are a number of additional options that Descartes offers which may be the correct fit for a business. We also offer training in blocks of 2-hours. Please contact us for more information.
Q: Is there a record # size limitation in Descartes MK Dynamic Screening™?
A: No, there is not a record size limitation. Generally, an upload can be performed (when enabled) through the Descartes MK Denial.com interface under the Secure Upload option located on the Main Menu. If this option is not visible within the interface, please contact us for additional details. Should you have a file over 10MB, we would encourage you to contact us for alternate methods to transmit the information. We can also optionally offer:
- Automated solutions to best fit your business needs including secure multiple web service options
- File review, formatting and field mapping Please note that we also offer a template to help speed the upload process as required.
Q: How secure is the data that is uploaded into your system?
A: Descartes is committed to implementing Information security following BS17999 and ISO27000 Information Security framework that extends to the Descartes MK DPS solutions. A security team exists and associated security professionals are dedicated to security tasks exclusively.
We have implemented an End-User Security Policy and an overall Information Security and Document Retention Policy. These have been implemented in light of BS17999 and considering the global nature of Descartes business and the importance of Information Security to Descartes customers and partners.
In addition, Descartes deploys operating systems based (both production and development environments) on the Descartes OS baseline which includes certain security hardening. System specialists configure systems requiring additional security. Additional hardening using IT security control frameworks are further managed with centralized tools.
Descartes Authorization review program assures data-owners have authorized the correct people to have access to the correct resources. Education and training concerning security awareness and agreement by employees to certain information security monitoring by authorized individuals’ raises attention. Encryption, locked desktops and end-point protection are also used. All Descartes data is subject to the Descartes Information Classification guidelines and must be labeled accordingly.
Q: Can you tell us more about the Application Programming Interface (API) services offered?
A: Our API services allow your systems to ‘ping’ Descartes MK DPS solutions via a number of formats, depending on what best suits your business model. From this request, a response result will be provided from the API service confirming if it is clear to transact business with the party. The API service is used in industries such as retail, finance, technology, eCommerce and many others where there is a need to evaluate prior to a transaction or at the customer level whether a party is on a denied party lists.
In addition to our API services, we can offer:
- Periodic screening via multiple methods and formats
- A historical data or transaction review
- Professional services
- File review, formatting and mapping
Q: We currently use the DPS functionality within the Descartes OneView™ solution. Is this product in addition to the Descartes OneView functionality, or will the Descartes MK DPS solution replace the existing screening within Descartes OneView?
A: The current Descartes OneView Denied Party Screening function is based on a limited list of sanctioned parties. Going forward, we will be offering Descartes OneView customers access to the industry’s highest quality premium lists from Descartes MK DPS. Descartes MK DPS lists feature much more comprehensive global data on sanctioned parties, denied parties and parties of concern. This data will be made available to Descartes OneView customers as the content used in the screening functions is built into the application. Future updates to Descartes OneView will integrate the Descartes MK DPS Web Services and more with sophisticated features for screening such as weak alias protection and dynamic list screening.
Q: How long does the system keep the audit trail?
A: As long as you remain a client, the complete log files from the time of account rollout are maintained and will not be deleted.
Q: How does your system integrate with customer Enterprise Resource Planning (ERP) systems such as SAP?
A: We have a seamless integration process with extensive experience with platforms such as SAP™, Oracle® and others. Depending on your needs, we can set-up a secure File Transfer Protocol (FTP) folder, web services, use an API or explore another possibility. In one scenario, for example, an automated call can be sent from your SAP system which checks for a ‘delta’ (change log) file. If a change log file exists, the updated information is then transferred into the SAP system. Multiple system ‘calls’ can also be enabled. For example, clients can choose if there is one match, two matches, etc. and the general specifications when information should be uploaded to a system. Automated and periodic options are available.
Q: Are the searches limited to sanctioned lists or there are also other sources used by the database (like newspaper articles)?
A: The information we offer is authorized data from multiple agencies and governments throughout the world. We also offer a number of industry-specific options, such as Health, Human Resources or Law Enforcement to better fit business requirements.
Q: What is the pricing for Descartes MK DPS solution(s)?
A: Our pricing varies based on several components including the service, list options etc. selected. Please contact us to help determine which lists and services would best suit your needs.