Practical screening checklist

A checklist for multi-list sanctions screening

Work through scope, data freshness, identity review, monitoring, and delivery operations before relying on a screening workflow.

Use this as a planning aid with your organization’s procedures. Marking every item does not establish identity, regulatory compliance, or sanctions clearance.

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1. Define your screening scope

Identify applicable jurisdictions and obligationsRecord which regimes your organization needs to consider and who is responsible for keeping that scope current.Map required lists to actual source coverageCheck configured sources, imported formats, and any coverage gaps. Handle restrictions and sources outside the platform through your own process.Collect enough identity context for reviewCapture names, aliases, and available identifiers. Country and registration fields support review but do not currently filter name-match candidates.

2. Check data and matching behavior

Review source freshness and failed importsInspect relevant import outcomes as well as the screening timestamp. Arrange a separate update process for upload-based sources such as Ukraine NSDC XLSX data.Evaluate matching with representative test casesTry name-order changes, extra middle names, spelling variations, aliases, short names, and different scripts. Document expected results and limitations; do not treat similarity as an identity probability.Assign an owner for candidate reviewCompare candidate identifiers and source references. Record the decision and escalation path in your review process; a no-match result is not a clearance decision.

3. Set up ongoing monitoring and delivery

Subscribe the records that need monitoringTrack subscription IDs and external references. API creation starts pending; check the completed outcome rather than interpreting an empty initial match list.Protect integration credentials and verify webhooksKeep keys and signing secrets on your backend. Verify the exact-body HMAC signature, deduplicate event IDs, and durably accept the event before returning 2xx.Test successful and failed delivery pathsExercise an unavailable destination and inspect recorded attempts. Plan who investigates failures and retries eligible exhausted deliveries; screening and delivery statuses are separate.

4. Keep evidence and revisit the process

Define evidence and retention requirementsDecide which timestamps, source references, outcomes, reviewer decisions, and delivery records your organization retains, where they are kept, and for how long. Verify the platform meets the required scope rather than assuming a complete case-management archive.Review access and operational ownershipAssign organization credential owners and administrators for import/screening jobs. Plan API-key revocation, webhook secret rotation, and staff access changes.Schedule a periodic process reviewReassess source coverage, import failures, test cases, notification handling, and obligations when your customer base, systems, or regulatory scope changes.

Keep responsibilities clear

Reliance Risk Registry provides supported source ingestion, subscription screening, candidate details, and delivery monitoring. Your team determines applicable obligations, resolves candidate identities, decides what action to take, and maintains the evidence and retention process it needs.

Review the source coverage and freshness notes, matching guide, and API and webhook documentation alongside this checklist.

1. Define your screening scope

2. Check data and matching behavior

3. Set up ongoing monitoring and delivery

4. Keep evidence and revisit the process

Keep responsibilities clear

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