3.1.1 Individual private watch list input attributes
This section lists the PLI fields used for individuals. In addition to a number of
prescribed fields, fifty customizable input attributes are available for individual
private watch lists. Forty of these are string attributes, five are date attributes and
five are number attributes. They are available for any additional inputs required by
your private watch list. The following table lists the individual PLI fields in order,
the data format expected for each field, and notes on their use in screening.
Table 3-1 Individual private watch list input attributes
| Field Name | Expected Data Format | Notes |
|---|---|---|
| ListSubKey | String | This field is used to identify the source list of the watch list record (for example, Private List, Accounting Private List, Financial Private List and so on). It is included in the alert key. |
| ListRecordType | String | [Mandatory attribute] This field is used when filtering alerts, to determine whether the record is a sanctions, PEP or enhanced due diligence record. It must contain a value of SAN, EDD, or PEP or a combination of these values. If you want to include a combination of values, the values should be comma- separated, and enclosed by double quotation marks. For example: "SAN, EDD, PEP" |
| ListRecordOrigin | String | This field is used to record the provenance of a record when it is part of a consolidated list. |
| ListRecordId | String | [Mandatory attribute] This attribute is not used as part of the matching process, but is used to create the case key. Therefore, it should be populated with a unique identifier. |
| PassportNumber | String | This is an optional field that may be used to capture customer passport numbers where known for use in the review process. Note that passport numbers are not used in the default screening rules. |
| NationalId | String | This is an optional field that may be used to capture customer National IDs where known for use in the review process. Note that National IDs are not used in the default screening rules. |
| Identifiers | String | Any identity of an individual. The Identifiers can be either driving license or social security number. |
| Title | String | This field should contain the titles of customers (such as Mr/Mrs/Dr/Herr/Monsieur). It is used to derive gender values where the gender is not already stated, and is used during the review process. Note that it is important that titles are not included in the name fields if possible. |
| FullName | String | [Mandatory attribute] The individual matching process is based primarily on the name supplied for the individual. Either a full name, a pair of given and family names, or an original script name must be submitted to the screening process for screening to proceed. |
| GivenNames | String | |
| FamilyName | String | |
| NameType | String | This is an optional field used in the review process only. Multiple names may exist for the same person. The Name Type therefore denotes if the name is the primary name of the listed party, or an additional name (such as an Alias, or Alternate Spelling). If two private list records were derived from a single source with multiple names (such as Mrs. Louise Wilson née Hammond being split into two records, Louise Wilson and Louise Hammond) you may wish to denote one as the primary name and one as a maiden or alias name. |
| NameQuality | String | This field may be assigned a value of Low, Medium or High to indicate the quality of the individual name. High is used for Primary names and specified Good/ High quality aliases. |
| PrimaryName | String | For alias records, this field indicates the main name for that record. |
| OriginalScriptName | String | [Mandatory attribute] The individual matching process is based primarily on the name supplied for the individual. Either a full name, a pair of given and family names, or an original script name must be submitted to the screening process for screening to proceed. If you populate the Original Script Name, then you will also need to enable two facets of Match processor configuration that are disabled by default: the Original Script Name Cluster and some or all of the Match Rules that include Original script name in their name. To adapt Match Processor configuration, you will need to open the Watchlist Screening project within the Director user interface, and make the changes to every process used by your Oracle Financial Services Customer Screening installation. There are separate processes for different types of screening. Examples include Individual Batch PEP Screening, Individual Real-time Screening and Individual Batch EDD Screening. Each of these processes will include a match processor with a name that is the same as the process name (for example, in the Individual Batch SAN Screening process, the Match processor will also be called Individual Batch SAN Screening). |
| Gender | String | The value supplied should be either ‘M’ or ‘F’. The gender is not used directly in the matching process, but optionally, the value of the Gender field can be used by the elimination rules to eliminate poor matches. |
| Occupation | String | This is an optional field that may be used to eliminate records with "safe" occupations, in the review process and in risk scoring. Note that customer occupations are not matched against list occupations using the default screening rules. |
| DateOfBirth | String, representing a date, in the format YYYYMMDD or YYYY-MM-DD; day, month and year are required. | [Recommended attribute] Birth date information can be used in matching to identify particularly strong matches, or to eliminate matches that are too weak. |
| YearOfBirth | String,in the format 'YYYY'. | |
| DeceasedFlag | String | If populated, this optional field should contain either Y or N. |
| DeceasedDate | String, representing a date, in the format 'YYYYMMDD'. | If populated, this optional field should contain either the current date or a date in the past. |
| Address1 | String | These are optional fields that may be used in the review process. |
| Address2 | String | |
| Address3 | String | |
| Address4 | String | |
| City | String | [Recommendedattribute] City data is used to strengthen potential match information. |
| State | String | [Recommendedattribute] State data is used to strengthen potential match information. |
| PostalCode | String | [Recommendedattribute] Postal code data is used to strengthen potential match information. |
| AddressCountryCode | String;ISO 2-character country code. | [Recommendedattribute] Address country data is used to strengthen potential match information. |
| ResidencyCountryCode | String;ISO 2-character country code. | [Recommended attribute] The country of residence can be used in optional country prohibition screening. |
| CountryOfBirthCode | String;ISO 2-character country code. | [Recommendedattribute] The country of birth code can be used in optional country prohibition screening. |
| NationalityCountryCodes | String;comma-separated list of ISO 2-character country codes. | [Recommendedattribute] The nationality can be used in optional country prohibition screening. |
| ProfileHyperlink | String; a hyperlink to an Internet or intranet resource for the record. | This field may contain a hyperlink to an Internet or intranet resource that can provide reviewers with additional information about the individual. |
| RiskScore | Number,between 0 and 100 |
This field is included where the risk score for a customer is calculated externally instead of using the Watchlist Screening rules. It is normally populated using Watchlist Screening’s risk scoring process. Note: it is possible to eliminate records if their risk score is below a certain threshold. |
| RiskScorePEP | Number,between 0 and 100 | A number indicating the relative ‘riskiness’ of the individual, considered as a PEP. The risk score is expressed as an integer between 1 and 100, with higher numbers indicating a higher risk. |
| AddedDate | String, representing a date, in the format 'YYYYMMDD' | These are optional fields for use in the review process. |
| LastUpdatedDate | String, representing a date, in the format 'YYYYMMDD' | |
| DataConfidenceScor e | Number,between 0 and 100 | |
| DataConfidenceCom ment | String | |
| InactiveFlag | String | If populated, this optional field should contain either Y or N. |
| InactiveSinceDate | String, representing a date, in the format 'YYYYMMDD' | If populated, this optional field should contain either the current date or a date in the past. |
| PEPclassification | String | This field can be used to indicate the type of PEP (for example, whether the individual is part of an international organization or government, and at what level). It can be used to filter watch list records, and is primarily used by the World-Check watch list, but could be used by a private watch list if required. See section 3.2 of the Oracle Financial Services Customer Screening Implementation guide for more information about filtering. |
| customString1tocustomString40 | String |
Fifty custom fields are provided in the private list data interface for individuals. Forty of these are intended to hold string data, five hold dates and five numeric data. Note: The interface file is a comma-separated value (.csv) file, and so all fields intrinsically contain strings. However, during the processing of Private watch lists, the custom date and number fields are checked to ensure that they include appropriate data, and warning messages are output if they do not. |
| customDate1tocustomDate5 | String, representing a date, in the format 'YYYYMMDD' | |
| customNumber1tocustomNumber5 | Number |