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Sanctions Screening
User Guide
This document provides information about the Sanctions Screening application. This document explains how to use and
administer the application that screens transactions in the scope of the Sanctions Screening service. This guide is for
end users and Sanctions administrators of the application.
03 October 2022
Link to this document: https://www2.swift.com/go/book/book123786

Sanctions Screening Table of Contents
User Guide
Table of Contents
Preface............................................................................................................................................................... 6
1 Introduction to Sanctions Screening.....................................................................................................7

1.1 Scope.......................................................................................................................................................7
1.2 Definitions................................................................................................................................................9
1.3 Communication Flows with the Copy Option......................................................................................... 13
1.4 Communication Flows with the Connector for Sanctions on Alliance Access....................................... 16
1.5 Selection of Messages for Sanctions Screening with the Copy Option................................................. 18
1.5.1 Selection of MT Traffic to Screen (on FIN).................................................................................. 18
1.5.2 Selection of MX Traffic to Screen (on FINplus)........................................................................... 20
1.6 Customisation of Messages to be Screened with the Connector Option...............................................20
1.7 Selection of Lists....................................................................................................................................21
1.8 Blocking and Non-blocking Mode.......................................................................................................... 21
1.9 Define the User Roles, the Workflow, and the User Profiles................................................................. 23
1.9.1 User Roles...................................................................................................................................23
1.9.2 Alert Management Workflows......................................................................................................24
1.9.3 Work Organisation.......................................................................................................................25
1.9.4 User Profiles................................................................................................................................26
2 Access the Sanctions Portal................................................................................................................ 30

2.1 Log in to the Sanctions Portal with Tokens............................................................................................30
2.2 Log in to the Sanctions Portal with HSM Certificates............................................................................ 32
2.3 Log out from the Sanctions Portal......................................................................................................... 32
2.4 Home Page............................................................................................................................................33
3 Live Messages....................................................................................................................................... 34
3.1 Live Messages Default View..................................................................................................................34
3.2 Live Messages Details...........................................................................................................................35
3.2.1 Message Content........................................................................................................................ 37
3.2.2 General Information.....................................................................................................................38
3.2.3 List of Hits....................................................................................................................................39
3.2.4 Hit Information............................................................................................................................. 40
3.2.5 Decision Buttons..........................................................................................................................40
3.2.6 Message Reports........................................................................................................................ 42
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User Guide
3.2.7 Message History..........................................................................................................................42

3.2.8 Last Comment............................................................................................................................. 42
3.3 Access an Alerted Message for Review................................................................................................ 43
3.4 Make a Decision.................................................................................................................................... 43
3.5 Add a Comment.....................................................................................................................................43
3.6 Unlock an Alerted Message...................................................................................................................44
3.7 E-mail Notification for Alerts.................................................................................................................. 44
4 History Messages.................................................................................................................................. 46
4.1 History Messages Default View............................................................................................................. 47
4.2 History Messages Details...................................................................................................................... 48
4.3 Add a Comment.....................................................................................................................................48
5 Reports................................................................................................................................................... 49
5.1 The Audit Reports..................................................................................................................................49
5.2 The Screening Reports..........................................................................................................................50
5.3 Download a Report................................................................................................................................51
6 Audit....................................................................................................................................................... 53
7 Administration ...................................................................................................................................... 54
7.1 User Management................................................................................................................................. 54
7.1.1 User Management Default View..................................................................................................54
7.1.2 Create a User.............................................................................................................................. 54
7.1.3 Modify a User.............................................................................................................................. 56
7.1.4 Delete a User...............................................................................................................................56
7.1.5 Disconnect a User....................................................................................................................... 57
7.1.6 Lock a User's Account.................................................................................................................57
7.1.7 Unlock a User's Account............................................................................................................. 57
7.2 Sanctions List Management.................................................................................................................. 58
7.3 Exceptions and Private List Management............................................................................................. 58
7.3.1 Process Overview........................................................................................................................59
7.3.2 Create an Exception Record....................................................................................................... 59
7.3.3 Create a Private Record..............................................................................................................64
7.3.4 Example: Create a Country Embargo in a Private List................................................................ 68
7.3.5 Edit a Record...............................................................................................................................68
7.3.6 Publish a List............................................................................................................................... 69
7.3.7 Recall a List.................................................................................................................................69
7.3.8 Structure of Lists..........................................................................................................................69
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7.3.9 Upload a List................................................................................................................................71

7.3.10 Delete a Record from a Drafted List.......................................................................................... 71
7.3.11 Delete a Record from a Published List...................................................................................... 72
7.3.12 List Status and List Views..........................................................................................................72
7.4 Hit Reducing Rules Management..........................................................................................................73
7.4.1 Overview of the Hit Reducing Rules............................................................................................73
7.4.2 Activate a Hit Reducing Rule.......................................................................................................74
7.5 Message Type Management for FIN..................................................................................................... 74
7.6 Application Configuration.......................................................................................................................74
8 Navigate the Interface .......................................................................................................................... 76

8.1 How the Interface Works....................................................................................................................... 76
8.2 How Table Menus Work.........................................................................................................................77
8.2.1 Tools Menu.................................................................................................................................. 77
8.2.2 Columns Menu............................................................................................................................ 78
8.2.3 View Menu...................................................................................................................................79
8.2.4 Sorting by Column.......................................................................................................................80
8.3 How to Navigate and Select Data..........................................................................................................80
8.4 User Session......................................................................................................................................... 82
9 How to Manage Views........................................................................................................................... 83

9.1 Columns Available for View Management............................................................................................. 83
9.2 Customise your Views........................................................................................................................... 85
9.2.1 Create a View.............................................................................................................................. 85
9.2.2 Save a View.................................................................................................................................86
9.2.3 Change the Default View.............................................................................................................86
9.2.4 Reset a View............................................................................................................................... 87
9.3 Share a View......................................................................................................................................... 87
9.4 Set the Number of Rows........................................................................................................................87
9.5 Delete a View.........................................................................................................................................87
9.6 Set Filters on a View..............................................................................................................................88
9.6.1 Set a Quick Filter on a Column....................................................................................................88
9.6.2 Set Advanced Filter on a Column................................................................................................89
9.6.3 Filters Summary.......................................................................................................................... 89
9.6.4 Remove a Filter on a column.......................................................................................................89
9.6.5 Remove Some Conditions on a Column..................................................................................... 90
9.7 Perform Calculations on Data................................................................................................................90
9.7.1 Create a Grouped View............................................................................................................... 90
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9.7.2 Perform a Calculation..................................................................................................................90

9.7.3 Calculation Operations................................................................................................................ 91
9.8 Remove Calculations on Data............................................................................................................... 91
9.8.1 Remove an Operation................................................................................................................. 91
9.8.2 Remove all Operations................................................................................................................91
9.8.3 Remove all Other Operations...................................................................................................... 92
Appendix A Copy Option: Routing Rules of MT 019 and xsys.012 Messages......................................... 93
Appendix B Copy Option: Routing Rules of Field 433 and Sw:ThirdPartyToReceiverInformation........94
Appendix C Screening and Audit Reports...................................................................................................97
Appendix D Z Character Set..........................................................................................................................99
Appendix E Check the Certificate Authenticity......................................................................................... 100
Appendix F Excluded FIN Fields.................................................................................................................101
Legal Notices..................................................................................................................................................111
03 October 2022 5
Sanctions Screening Preface
User Guide
Preface
Purpose of the document
This user guide provides detailed information about the Sanctions Screening application. It includes
instructions for using and administering the Sanctions Screening application, to manage the
messages screened in the scope of the Sanctions Screening service. It also provides information
about the screening process and the reports.
Audience
This document is for the following audience:
• end users
• Sanctions administrators
• compliance officers
Significant changes
The following table lists the significant changes to the content of the Sanctions Screening User
Guide since the previous edition. It does not include editorial or structural changes that SWIFT
makes to improve the usability and comprehension of the document.
Update to the list of excluded fields with the addition Excluded FIN Fields on page 101
of 36D, 93E, 93F as per Standards Release 2022
Related documentation
• Sanctions Screening Service Description
• Sanctions Screening Inventory of Lists
• Sanctions Screening Hit Reducing Rules User Guide
• Connector for Sanctions for Alliance Access Release Letter
• FIN Operations Guide
• SWIFTNet Online Operations Manager User Guide
• SWIFT Certificate Centre Portal User Guide
• SWIFT Certificate Centre Troubleshooting Guide
• SWIFT Certificate Centre Personal Token Software Installation Guide
Note These documents are available on swift.com > Ordering & Support > Knowledge
Centre (User Handbook).
03 October 2022 6
Sanctions Screening Introduction to Sanctions Screening
User Guide
1 Introduction to Sanctions Screening
1.1 Scope
Centralised SWIFT service
Sanctions Screening is a centralised SWIFT service that scans messages sent and/or received on
a financial messaging network. For customers that subscribe to the service, the selected messages
are routed to a central application that screens the messages in real time against sanctions lists
and if applicable, against customers' private and exceptions lists.
Sanctions Screening can apply to outgoing messages, or incoming messages, or both.
Different screening options

When subscribing to the service, customers can select one of the following implementation options,
or both options:
• Sanctions Screening with the Copy option
To screen MT messages over FIN with FINInform in Y-Copy mode
To screen MX (ISO 20022) messages compliant with CBPR+ over FINplus with SWIFTNet
Inform in Y-Copy mode
• Sanctions Screening with the Connector option
To screen any message types and any message formats, using The Connector for Sanctions
based on Alliance Access Integration Platform (IPLA), and integrated within the messaging
flows processed on Alliance Access.
With the Connector for Sanctions on Alliance Access configuration, messages in a final screening
status can be returned to the back office (the screen-only mode) or can be sent to non-SWIFT
networks as part of a separate integration project (the screen-and-send mode).
Reading convention
For ease of reading, this service description uses the following reading conventions:
• Sanctions Screening refers to the service with both the Copy and the Connector options
• The Connector for Sanctions refers to the Connector for Sanctions Screening
• The Connector for Sanctions on Alliance Access or the Connector for Sanctions on IPLA refer
to the Connector for Sanctions on Alliance Access Integration Platform
03 October 2022 7
User Guide
The Copy option
Copy option
Interface SWIFT
Back-office
Payment to be screened
Good payment Screening engine
Rejected payment
D1340020
For messages that are screened with the Copy option, the message flows may continue or be
impacted as follows:
• Messages for which there are no hits or only non-blocking hits are delivered as usual. For a
Sanctions Screening customer that is a receiver, such messages are flagged as evidence that
they have been screened by the Sanctions Screening service.
• Messages for which there is one or more blocking hits require a manual intervention on the
Sanctions portal. The customer receives an alert and must instruct SWIFT to release, abort
(only available for a sender), or flag the message (only available for a receiver) depending on
whether the message is a false positive or a true hit.
Connector for Sanctions on Alliance Access
Connector for Sanctions

on Alliance Access option Screening engine
Alliance Access
IPLA
Connector
for
Sanctions SWIFT
Routing
Back-office
SWIFT or
other
network
Payment to be screened
Good payment
D1340021
Rejected payment
03 October 2022 8
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For messages that are screened with the Connector for Sanctions on Alliance Access, the
message flows may continue or be impacted as follows:
• Messages for which there are no hits or only non-blocking hits can continue their normal
processing in Alliance Access.
• Messages for which there are one or more blocking hits require a manual intervention on the
Sanctions portal. The customer receives an alert and must indicate if the message has to be
flagged as a true hit or a false positive. The Connector for Sanctions on Alliance Access
receives the status of the alert and processes the message according to the customer's
decision.
The screening results and any customer's decisions are stored as evidence in the message history
of Alliance Access.
An alert service
Sanctions Screening is designed to alert customers about transactions for which customers may
have to apply asset-freezing or other sanctions-related measures. Sanctions Screening only alerts
customers about hits against one or more of the lists selected by the customer. Besides a selection
of the sanctions lists that are supported by the service (see Sanctions Screening Inventory of
Lists), the alert service is also available for a customer-defined private list. It remains the
customer's sole responsibility to decide which measures to implement with regard to such alerted
message, and Sanctions Screening will not recommend to the customer any kind of action to take
or not with regard to an alerted message. Because it is only an alert service, Sanctions Screening
may only be used by the customer on a supplementary basis, in addition to its other compliance
procedures and controls related to sanctions regulations.
1.2 Definitions
Alert When the screening engine detects a hit, it generates an alert for the
customer to review. If a single message generates hits against multiple
customer selected lists, such multiple hits are grouped in a single alert.
An alert is either pending or closed. An alert is pending while it is under
review by the customer. An alert is either closed after review by the customer
or automatically by the screening application.
Blocking or non-blocking Lists are activated in blocking mode or non-blocking mode.

mode
In blocking mode, all messages that generate a hit are blocked by the
screening engine until the customer decides on further actions.
In non-blocking mode, all messages are automatically released by the
screening engine. Alerts are generated without putting the message on hold
for review.
BLOCKING state The state of an alert for which a Fail decision was taken. This is a final state.
CANCELLED state The state of an alert that was auto-released by the screening engine. This is
a final state.
Commercial third-party Lists Lists with data collected by third party suppliers for which the suppliers
populate the lists based on their own research.
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Connector for Sanctions The Connector for Sanctions (CFS) is a software developed as a business
package that runs with the Alliance Access Integration Platform (IPLA):
Connector for Sanctions prepares and sends screening requests to the
screening engine. Such requests require extracting content from a message
to populate the parameters relevant for an API call.
Cross-Border Payment and The market practice working group that was formed by SWIFT in January
Reporting Plus (CBPR+) 2019 to formulate common guidelines for the use of ISO 20022 messages for
cross-border payments and cash reporting. The market practice guidelines
are published at MyStandards
Customer A customer is a subscriber to the Sanctions Screening service.
Customer selected lists Set of sanctions lists selected by the customer against which they instruct
SWIFT to screen their messages.
End user profile An end user is an individual within the customer's organisation who is entitled
to access and use the Sanctions portal. A profile defines the rights assigned
to an end user, it determines the parts of the Sanctions portal that are
accessible for this end user and the assigned decision workflow.
There are four alert management user profiles specific to the workflows:
• the Standard or 4-eyes Level 1 user profile
• the Standard or 4-eyes Level 2 user profile
• the Standard or 4-eyes Level 1 and 2 user profile
• the Standard or 4-eyes Compliance and Level 2 user profile
There are three administration user profiles:
• the User Administrator profile
• the Compliance profile
• the Admin and Compliance profile
There is one read-only access profile:
• the Auditor profile
E-mail notification The e-mail notification is an optional alert notification feature. When e-mail
notification is activated for a user, the system checks the database every 30
minutes. It then sends an e-mail if there are any pending alerts requiring the
user attention. The e-mail contains neither the content nor any data
information related to the alerted message(s).
Exception list (or good guys The exception list, or good guys list, is a feature of the service by which
list) customers avoid the Sanctions Screening service to raise alerts against
individuals, entities or data entries that the customer has identified as
harmless.
FAIL PROPOSED state This state only applies to the 4-eyes workflow.
State of a pending alert which is proposed to be closed as a true hit. This is
an intermediary state.
False positive A message that generates an alert but which is confirmed by the customer
not to match an entry in a sanctions list.
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FILTER state This state applies to both the Standard and the 4-eyes workflows.
The alert state of a message with one or more blocking hits and for which no
operator action was taken yet. This is a first state.
Final screening status The final screening status can either be No Hit, False Positive, True Hit,
Cancelled, or Unqueued.
FINplus FINplus delivers the SWIFT core, store-and-forward, message-processing

service to support secure and reliable exchange of ISO 20022 messages
between financial institutions. It provides financial institutions that are
currently using the FIN service to exchange financial transactions in MT
format, with the necessary environment to exchange the richer ISO 20022
format messages.
Hit A hit occurs when a string in a message matches an element of the

customer's selected lists.
Hit reducing rule A hit reducing rule is an optional rule that customer can activate on the
Sanctions portal to reduce the false positive hit rate.
ISO 20022 Programme With payment systems of all reserve currencies adopting ISO 20022, the
financial community has to implement the new standard in Financial
Institution to Financial Institution payments and reporting. SWIFT is
facilitating this community-wide adoption with the ISO 20022 Programme.
The programme will establish a new messaging service, co-existence
measures to support adoption, training and adoption services towards this
goal. For more information, see ISO 20022 adoption programme.
Message Input Reference The MIR is a unique FIN message reference calculated by SWIFT based on
(MIR) the message input date, the sender BIC and logical terminal, the input
session and the sequence number. It is the MIR that relates each message
that is screened with its corresponding entry in the monthly audit report.
This is only available for the Sanctions Screening service used with the Copy
option on FIN.
MX An XML message definition for use on the SWIFT network. SWIFT creates
standard MX messages based on the ISO 20022 methodology.
NONBLOCKING state This state applies to both the Standard and the 4-eyes workflow.
State of a closed alert with only hits against lists that are selected by the
customer in non-blocking mode. This is a final state.
PASS PROPOSED state This state only applies to the 4-eyes workflow.
State of a pending alert which is proposed to be closed as a false positive.
This is an intermediary state.
PASSED state This state applies to both the Standard and the 4-eyes workflow.
State of a closed alert for which a Pass decision was made. This is a final
state.
PENDING REVIEW state This state only applies to the standard workflow.
State of a pending alert which was escalated for review before making a
Pass or Fail decision. This is an intermediary state.
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Pseudo-NAK A pseudo-NAK is a technical notification that can be issued by the interface

to indicate that the interface did not attempt to send the message for delivery
(because it generated a hit).
This is only available for the Sanctions Screening service used with the
Connectors for Sanctions option.
Private lists Lists of persons, groups, entities, and countries that are specific to the
customer and that the customer has identified as data entries against which
he wants his messages to be screened.
Public lists Lists of persons, groups, entities, and countries that are issued by regulators
and/or governments.
Sanctions lists The sanctions lists include the public lists and the third-party commercial
lists.
REVIEW state This state only applies to the 4-eyes workflow.

State of a pending alert which was escalated for review before making a
Pass or Fail proposal. This is an intermediary state.
Screening engine/application An application that compares data in a message against sanctions lists and
the customers' private list (if applicable), and generates an alert in case of a
hit. A hit occurs when a string in a message matches an element of the
customer's selected lists, provided the hit is not superseded by an exception
(or good guy) record. The screening engine compares specific fields of the
message against the consolidated list using fuzzy logic, search on names
and geographic information such as countries under embargo, and string
matching search on BICs. The screening engine then only retains matches
that contain enough relevant information to generate a hit.
Sanctions portal The Sanctions portal is a browser-based application that the customers use
for all interactions with the Sanctions Screening service, such as the
configuration, the alerts management, the audit and the reporting functions.
Standard workflow PASS decisions do not need to be reviewed and confirmed by a second
person. FAIL decisions must be reviewed and confirmed by a second,
different, person. The second person can be in a different team (Level 2 or
Compliance and Level 2) or in the same team (Level 1 and 2).
Suspect A suspect message is a message that has generated a hit requiring

investigation and manual intervention by the customer.
SWIFT Reference (SwiftRef) A unique reference assigned by the central SWIFTNet systems to InterAct
messages.
This reference contains the central SWIFTNet systems' local time (converted
to UTC). You can search for this field in Alliance Access as explained in
Knowledge Base article 5019204.
True hit A message that generates an alert and which is confirmed by the customer
to match an entry in a selected sanctions list in blocking mode.
UNQUEUE state This is the state of an alert that has been released by SWIFT as part of an
emergency procedure as instructed by the customer. This is a final state.
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Workflow The internal process that the customer applies for investigation and
instruction on alerted messages. The customer chooses between two pre-
configured workflows: the standard workflow and the 4-eyes workflow.
4-eyes workflow PASS and FAIL decisions must be reviewed and confirmed by a second,
different, person. The second person can be in a different team (Level 2 or
Compliance and Level 2) or in the same team (Level 1 and 2).
1.3 Communication Flows with the Copy Option

Introduction
With the Copy option, SWIFT copies a message (outgoing or incoming) to the screening engine
that is hosted and managed at SWIFT.
Outgoing messages: the sender subscribes to the service
1
SWIFT 6a 6b
6c Delivery
Abort (no hit or false positive)
Sender true hit Receiver
C
as
Copy 2 5 Instruction
e
to deliver
m
4
an erts
or abort
of
ag
Service
al
em
user
en
t
3
Managed by SWIFT
Sanctions portal Screening engine

D1340002
The flows for outgoing messages are as follows:
Step Flows Comments
1 A customer, the sending institution, sends a

message to its counterparty, the receiving institution.
03 October 2022 13
User Guide
Step Flows Comments
2 SWIFT copies the message to the screening engine. With FIN, for an MT message to be
sent to the screening engine, the
message must be part of the traffic
Category selected by the sender
during subscription to the
Sanctions Screening service.
The message is not sent to the
receiver at this stage.
3 The screening engine screens the message against

the lists selected by the sender. For excluded MT
messages (see Exclusion of MTs on page 19), the
messages are directly released and delivered to the
receiver.
The screening engine does not generate an alert:
5 The screening engine automatically releases the

message.
6a - no hit SWIFT delivers the message to the receiver.
The screening engine generates an alert:
4 If an alert is generated by a match against a list set in In non-blocking mode, SWIFT

non-blocking mode, the alert is automatically closed delivers the message to the
by the screening engine. receiver.
If an alert is generated by a match against a list set in In blocking mode, SWIFT blocks
blocking mode, the sender can be notified by e-mail the message until a decision is
(optional). The sender accesses the alerts through made by the sender.
the Sanctions portal.
The sender reviews the alert and makes a decision.
5 The screening engine communicates to the Inform

Copy layer the sender's instruction to deliver the
message to its counterparty or to abort it.
6b - false The alert is a false positive. The sender authorises SWIFT delivers the message to
positive the message delivery to the receiver. the receiver.
6c - true hit The alert is a true hit. The sender instructs a SWIFT does not deliver the
message abortion. message to the receiver.
For MT messages, the message is aborted by
FINInform and an abort notification (MT 019) is sent
to the sender.
For MX messages, the message is aborted by
SWIFTNetInform and a failed delivery notification
(xsys.012) is sent to the sender.
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Incoming messages: the receiver subscribes to the service

The handling of incoming messages differs from the handling of outgoing messages because a
receiver cannot abort incoming messages. The receiver can only instruct the screening engine to
deliver and flag incoming messages for further internal exceptions handling.
Delivery as is
(no hit or false positive)
1 SWIFT 6a 6b
6c
Delivery
Sender (true hit) Receiver
Instruction
nt
Copy
e
2 5 to deliver
er em
with flag
al ag
ts
of an
Service
m
4
e
user
as
C
3
Managed by SWIFT
Screening engine Sanctions portal
D1340001
The flows for incoming messages are as follows:
Step Flows Comments
1 A financial institution sends a message to a receiver

that has subscribed to the Sanctions Screening
service with the Copy option.
2 SWIFT copies the message to the screening engine. With FIN, for an MT message to be
sent to the screening engine, the
message must be part of the traffic
Category selected by the receiver
during subscription to the
Sanctions Screening service.
The message is not delivered to
the receiver at this stage.
3 The screening engine screens the message against

the lists selected by the receiver. For excluded MT
messages (see Exclusion of MTs on page 19, the
messages are directly released and delivered to the
receiver.
The screening engine does not generate an alert:
5 The screening engine automatically releases the

message. A flag is added to indicate that the
message has been screened.
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Step Flows Comments
6a - no hit SWIFT delivers the message to the receiver.
The screening engine generates an alert:
4 If an alert is generated by a match against a list set In non-blocking mode, SWIFT

in non-blocking mode, the alert is automatically delivers the message to the
closed by the screening engine. A flag is added to receiver, with a flag to indicate that
the message to indicate that the message has been the message has been screened.
screened.
In blocking mode, SWIFT blocks
If an alert is generated by a match against a list set the message until a decision is
in blocking mode, the receiver can be notified by e- made by the receiver.
mail (optional). The receiver accesses the alert
through the Sanctions portal.
The receiver reviews the alert and makes a decision.
5 The screening engine communicates the receiver's

instruction to deliver and flag for exception handling
to the receiver.
6b - false The alert is a false positive. The receiver authorises SWIFT delivers the message to the
positive the message delivery. The screening engine adds a receiver, with a flag to indicate that
flag to the message to indicate that the message has the transaction has been screened.
been screened.
6c - true hit The alert is a true hit. The receiver authorises the SWIFT delivers the message to the
message delivery and flags the message for internal receiver, with a flag for internal
exception handling, and the screening engine exceptions handling.
delivers the message to a special queue based on
an interface routing rule configured by the receiver.
1.4 Communication Flows with the Connector for

Sanctions on Alliance Access
Introduction
Sanctions Screening uses the Connector for Sanctions on Alliance Access business package and
the standard Alliance Access routing mechanism to deliver a message (outgoing or incoming) to
the screening engine that is hosted and managed by SWIFT.
The messages are screened before being sent to the network or after reception from the network.
Customers define how to process the screened messages with the Alliance Access routing
mechanism.
Note Outgoing messages are messages sent by the back office to Alliance Access. In the
context of Alliance Access, outgoing messages are referred to as input (to SWIFT)
messages in the portal.
Incoming messages are messages sent to the back office by Alliance Access. In the
context of Alliance Access, incoming messages are referred to as output (from
SWIFT) messages in the portal.
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Typical flow
Customer infrastructure
Alliance Access
1 7a SWIFT or 7a
Routing
7b other network
2
Back-office Counterparty
Connector
for
Sanctions
SWIFT 6 3
Secure API calls
4
Case management
5 Managed
of alerts
by
SWIFT
Sanctions Screening
D1340016
portal engine
The flows are as follows:
Step Flows Comments
1 The customer submits a message to Alliance Access. The customer can submit
the message either from
the back office or manually
from the Message
Management
Application.(1)
2 Alliance Access sends the message to the Connector for

Sanctions on Alliance Access, using its routing mechanism.
3 The Connector for Sanctions on Alliance Access sends a The original message
request to the screening engine for the message to be remains in Alliance
screened. This request contains information extracted from the Access, and is not sent to
original message to allow the screening engine to process it. the counterparty at this
stage.
4 The screening engine screens the message against the lists

selected by the customer.
5 - in case of If the screening engine creates a hit against a selected list, the
hit screening engine generates an alert on the Sanctions portal.
The customer reviews the alert and makes a decision.
6 The Connector for Sanctions on Alliance Access receives the

final screening status from the screening engine.
03 October 2022 17
User Guide
Step Flows Comments
7a - no hit, Messages confirmed with no hit or false positive can be sent to

false the counterparty or returned to the back office for further
positive(1) processing using the Alliance Access routing mechanism.
7b - true hit(1) Messages with a true hit are typically processed differently by If configured by the
Alliance Access using the routing mechanism. customer, a pseudo-NAK
can be generated by the
interface and returned to
the back office for further
processing. A pseudo-
NAK can only be
generated for outgoing
messages.
(1) For messages of proprietary format, customers must foresee an integration project.
1.5 Selection of Messages for Sanctions Screening

with the Copy Option
1.5.1 Selection of MT Traffic to Screen (on FIN)
Selection of MT categories
The customer selects the message types (MTs) to screen when subscribing to the service.
The MTs are grouped per type of business areas, covering the following categories:
• Payments
Category 1, Category 2 messages and MT 910
• Trade
Category 4 and Category 7 messages
• Treasury
Category 3, Category 6 messages
• Securities
The following messages from Category 5: MTs 502, 503, 509, 513, 514, 515, 516, 517, 518,
519, 527, 530, 540, 541, 542, 543, 558, 559, 565, 578, 586, 592, 595, 596, 598, 599
• Cash Management and Customer Status
The following messages from Category 9: MTs 910, 992, 995, 996, 998, 999
Note SWIFT only copies user-to-user messages to Sanctions Screening, and not messages
exchanged between users and SWIFT-managed BICs (like the MT 199 status update
messages exchanged between gpi customers and the gpi Tracker).
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Selection of traffic
When subscribing to the service, the customer selects the nature of the messages to be screened,
that is either:
• international and domestic traffic
• international traffic only
Traffic is international when the BIC codes of the sender and the receiver include a different
country code. In addition, the customer may decide to subscribe to their incoming or outgoing traffic
or to both.
Traffic is domestic when the country code of the sender's BIC and receiver's BIC is identical.
Default settings
All messages belonging to the related message categories in a selected business area (Payments,
Trade, Treasury, Securities, or Cash Management and Customer Status) are routed transparently
to the screening engine. The routing is configured based on the customer's BIC and the selected
business areas, for an incoming and/or an outgoing flow.
Exclusion of MTs
Customers for which the default settings do not offer sufficient granularity can further refine the MT
selection on the Sanctions portal by excluding specific MTs which will then be ignored by the
screening engine and will not generate any hits. In the default settings, all the message types
within the selected categories are screened.
Exclusion of fields
Public sanctions lists contain alpha-numerical information such as aircraft IDs and other identifiers.
Dates and amount fields in a FIN message can match with these and cause a hit. This is just one
example of false positive cases that may occur.
To minimise the number of these false positive cases, a set of FIN message header and text fields
are excluded from the message screening:
• Message block 1 is screened except for the session and sequence number.
• Message block 2 is screened.
• Message block 3 is not screened.
• In the message block 4, screening is not performed on the FIN fields containing the following
type of data:
- Date and Time possibly in combination with an MT name
- Amount possibly in combination with a Data or Currency
- Codeword
For a detailed list of field's tags excluded by screening engine, see Excluded FIN Fields on page
101.
• Message block 5 is not screened.
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1.5.2 Selection of MX Traffic to Screen (on FINplus)

MX messages are copied and screened, regardless of regionality or direction, if they match the
following criteria:
• the message is exchanged using the FINplus messaging service
• the message is one of the following messages: camt.029, camt.056, camt.057, pacs.004, pacs.
008, pacs.009, pacs.010, pain.001
MX messages cannot be excluded on the Sanctions portal.
Other MX messages exchanged using the FINplus messaging service are copied but automatically
excluded.
If customers are subscribed to other ISO 20022 Market Infrastructure services, then that traffic is
also copied, but automatically excluded from screening. For more information, see Knowledge
Base article 5025241 for the list of affected services.
1.6 Customisation of Messages to be Screened with

the Connector Option
Default settings
Connector for Sanctions is designed to screen the following messages:
• any MTs messages from categories 1 to 9
• the MX pacs.008.001.02 SEPA Credit Transfer
Customers select the messages to screen at the level of the routing mechanism of Alliance Access
or by sending the messages that have to be screened to the dedicated input folder. Customers can
select which messages to screen using routing criteria on the various input queues or by changing
the configuration file and folders.
Customisation of MT fields or MX elements

Customers can customise the MT fields or MX elements as follows:
• select the MT message fields or MX message elements should be sent to the screening engine
• define (with the category code) which sent MT fields or sent MX elements should be screened
or not
The category code provides context about the business meaning of data in a specific MT field or
MX element.
• change the MT field or the MX element names as they appear on the Sanctions portal
Customers must review the templates to ensure that they correspond to their business and
regulation needs. If customisation is required, customers must design the appropriate
transformation templates with SWIFT Professional Services in the scope of a separate integration
project.
Customisation of MX messages to support CBPR+

If customers need to screen other MX messages or messages of proprietary format, they must
design the appropriate transformation templates with SWIFT Professional Services in the scope of
a separate integration project.
Templates for a subset of the MX message types used in the context of CBPR+ are available free
of charge on request, and can be included in such an integration project.
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1.7 Selection of Lists

Sanctions lists selection
When accessing the Sanctions portal for the first time, the Compliance officer must select the
sanctions lists to apply and activate them in blocking or non-blocking mode through the
Administration module.
To subscribe to Sanctions Screening, see www.swift.com > Ordering & Support > All > Sanctions
Screening
Until then, no screening will be performed.
Exception list
The exception list, or good guys list, contains the good guy records that the Compliance officer
can create or upload through the Sanctions portal. This feature allows you to avoid recurring false
positive hits raised by individuals, entities or data entries that you have identified as harmless.
The user should be aware that no hits are raised in the case of match with the good guys list,
meaning there will be no trace of any alert on the related transaction in the history view, or in the
screening and audit reports.
For more information, see Definitions on page 9 and Exceptions and Private List Management on
page 58.
Private list
The private list contains the data entries specific to your business needs against which you want
your messages to be screened. The Compliance officer can create or upload the private lists
through the Sanctions portal.
For more information, see Definitions on page 9 and Exceptions and Private List Management on
page 58.
Related information
For the inventory of supported lists, see:
Sanctions Screening Inventory of Lists
Sanctions List Management on page 58
Exceptions and Private List Management on page 58
1.8 Blocking and Non-blocking Mode

Introduction
The customer must activate the selected sanctions lists and the private lists in blocking or non-
blocking mode. The customer may choose to activate some lists in one mode, and others in the
other mode.
Customers have the following options:
• the list is not selected
• the list is selected in blocking mode
• the list is selected in non-blocking mode
The changes are activated in a batch process that is run once per day by SWIFT between 00:00
and 02:00 GMT. On Sundays, configuration changes are activated between 05:00 and 07:00 GMT.
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Blocking mode
In blocking mode, with the Copy option all messages with hits that generate an alert are on hold at
the messaging level (FIN or FINplus). Similarly, with the Connector option, suspect messages are
kept in a queue of Alliance Access or a folder in the Connector for Sanctions.
The messages are on hold or kept in the queue or the folder until the customer decides to perform
one of the following actions:
• flag the message as no hit (false positive)
• flag the message as true hit
Non-blocking mode
The non-blocking mode may typically be used for testing a new list prior to its activation in blocking
mode.
In non-blocking mode, the Sanctions Screening service generates alerts to the customer but
without interrupting the message delivery. All incoming and outgoing messages are processed as
usual, regardless of whether or not they generate an alert. With the Copy option, messages are
flagged as screened when screened on behalf of the receiver. With the Connector option,
messages are further routed in the same way as no hit messages.
Customers can review the non-blocking hits in the Message History and in the monthly screening
and audit reports.
Related information
Sanctions List Management on page 58
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1.9 Define the User Roles, the Workflow, and the User
Profiles
1.9.1 User Roles

Basic principle
User 1
Alert Management
User 2
OR
Administration
Compliance Administrator Compliance officer
officer and Administrator
Read Access
Auditor
D1340009
In the Sanctions Screening service, there are five main roles grouped into three types of functions:
• Alert management functions
For some alert management actions, the action must be taken by two different users:
- User 1
- User 2
• Administration functions
- Administrator
The Sanctions administrator handles the user management and the application
configuration. The administrator is also responsible to distribute the tokens and the token
passwords to the individual users.
- Compliance officer
The compliance officer is responsible for the public sanctions lists, the exception list, the
private list, and the message selection. The compliance officer is also responsible to retrieve
and archive the monthly audit and screening reports.
The same user can combine the administrator and the compliance officer roles.
• Auditor
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The auditor has read access to the Live and History modules, the audit logs, and the reports.
The Auditor cannot take any action.
Based on this basic principle, you must designate at a minimum three different users amongst
which two users with the alert management function and one user with the administration function.
Combination of roles
Depending on the workflow and the work organisation that you choose, users can combine some of
these roles. This combination of roles determine the profiles that you must select in the Sanctions
portal when users are created.
Related information
Alert Management Workflows on page 24
Work Organisation on page 25
User Profiles on page 26
1.9.2 Alert Management Workflows

Introduction
The decision workflow is the internal process that the customer applies for investigation and
instruction on alerted messages.
The customer chooses between two pre-configured workflows:
• the standard workflow
• the 4-eyes workflow
The standard workflow
FILTER
PENDING
REVIEW
PASSED FAILED
D1340007
user 1
user 2
In the case of a false positive, no issue is found, user 1 takes the Pass decision and the screening
engine releases the message.
In the case of a possible true hit, user 1 escalates the alert to user 2. This action moves the alert to
a PENDING REVIEW state. User 2 then decides to Pass or Fail the message.
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The 4-eyes workflow
FILTER
PASS REVIEW FAIL

PROPOSED PROPOSED
PASSED FAILED
D1340008
user 1
user 2
Each user 1 proposal, PASS PROPOSED or FAIL PROPOSED, must be confirmed by user 2.
When user 2 is not in agreement with the user 1 Pass or Fail proposal, the alert is also moved to
REVIEW to be analysed again by user 1.
Note User 1 can also place an alert in REVIEW to be analysed later.
1.9.3 Work Organisation

Introduction
You define the user profiles corresponding to the operating model that best suits your
organisational needs.
Questions Answers
1 - Workflow? - Standard
- 4-eyes
2 - Work organisation? - One team

- Two teams
3 - Compliance and Administration combined? -Yes

- No
D1340010
Profiles to define
Define user profiles corresponding to your work organisation

The answers to the following three questions will help you define the users profiles:
Questions Answers
1 Only the Fail decisions must be confirmed by two different users? Standard workflow
Both Pass and Fail decisions must be confirmed by two different users? 4-eyes workflow
2 All users that perform the day-to-day alert handling have the same role? One team
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User Guide
Questions Answers
The Level 1 users propose (operator team), the Level 2 users review and decide Two teams
(supervisory team)
If you opt for two teams, is it the Compliance officer that will perform the Yes
supervisory role?
No
3 If the Compliance officer does not participate in the alert handling, do you want to Yes
combine the administrator and the compliance roles?
No
1.9.4 User Profiles

User profiles to define
A profile defines the roles assigned to an end user based on the assigned decision workflow and
the work organisation.
One team Two teams
Admin and Admin and Compliance is Compliance and Level 2 are

Compliance Compliance Level 2
separate
combined separate
Admin and Admin and
Compliance Compliance
Profiles combined separate
Wkfl Level 1 (1) ✓ ✓ ✓
Wkfl Level 2 ✓ ✓
Wkfl Level 1 and 2 ✓ ✓
Wkfl Compliance ✓
and Level 2
Compliance ✓ ✓
User Administrator ✓ ✓ ✓
Admin and ✓ ✓
Compliance
(1) Wkfl corresponds to the Standard or 4-eyes workflow.
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Example
You have chosen the following workflow and work organisation:
• 4-eyes workflow
• one team that does the alert management whereby the administration and compliance is done
by a different team (separate)
This corresponds to the second column. You will assign the following profiles:
• 4-eyes Level 1 and 2
• Compliance
• User Administrator
Access control
Access to each module and menu is protected by profiles. Only users who have the appropriate
role profile can select the relevant menu items. Menu items for which users do not have the
corresponding profile are unavailable.
User profiles for the Live Messages module
Live Messages module
Standard workflow 4-eyes workflow
Profiles Decision states Decisions Decision states Decisions
Level 1 FILTER Pass FILTER Pass (1)

Pending Fail (1)
Review
REVIEW Pass (1)

Fail (1)
Level 2 PENDING REVIEW Pass PASS PROPOSED Pass

Fail Review
FAIL PROPOSED Fail

Review
Level 1 and 2 FILTER Pass FILTER Pass (1)

Pending Fail (1)
Review
REVIEW Pass (1)

Fail (1)
PENDING REVIEW Pass (2) PASS PROPOSED Pass (2)

Fail (2) Review
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FAIL PROPOSED Fail (2)

Review
Compliance and PENDING REVIEW Pass PASS PROPOSED Pass

Level 2
Fail Review
FAIL PROPOSED Fail

Review
Compliance Read access
User Read access

Administrator
Auditor Read access
(1) Not a final decision

(2) Decision must be taken by a different user than the user that took the previous decision
User with Level 1 and Level 2 profile only have view access to the states for which they can take
action. User with the Compliance, User Administrator, Admin and Compliance or Compliance
and Level 2 profile have view access to alerts in all states.
User profiles for the History Messages, Reports, Audit and Administration modules
Profiles History Reports Audit Administration

Messages
Standard and 4- ✓ ✓
eyes Level 1, Level
2, Level 1 and 2
Standard and 4- ✓ ✓ Hit Reducing Rules

eyes Compliance Management
and Level 2
Sanctions List Management
Message Type Management
Exception List Management
Private List Management
User ✓ ✓ ✓ User Management

Administrator
Application Configuration
Compliance ✓ ✓ Message Type Management

Hit Reducing Rules
Management
03 October 2022 28
User Guide
Profiles History Reports Audit Administration

Messages
Admin and ✓ ✓ ✓ User Management

Compliance
Message Type Management
Hit Reducing Rules
Management
Application Configuration
Auditor ✓ ✓ ✓
03 October 2022 29
Sanctions Screening Access the Sanctions Portal
User Guide
2 Access the Sanctions Portal

To access the Sanctions portal for the first use
To access the Sanctions portal for the first use, you must first activate your token on the SWIFT
Certificate Centre. For detailed information about tokens management, see the Sanctions
Screening Getting Started.
Note You can use the same tokens for the two Sanctions Screening service options (Copy
and Connector).
Prerequisites
Besides the token, to access the Sanctions portal, you need a workstation with an Internet
connection and Internet Explorer or Firefox.
If you access the portal with the multi-vendor secure IP network (MV-SIPN), you need an access to
SIPN with Alliance Connect.
Related information
For more information about the system requirements, see:
Sanctions Screening Getting Started
2.1 Log in to the Sanctions Portal with Tokens

Procedure
1. Open your browser, insert your activated token, and enter the following URL: https://
www.swift.com/myswift/log-screening-portal
Tip If you have a valid activated token connected to your PC, you may skip this step
by using bookmarks with the following secure URL https://
sanctionsscreeningtest.browse.swiftnet.sipn.swift.com for the Test service and
https://sanctionsscreening.browse.swiftnet.sipn.swift.com for the Live service.
Note If you want to access the Sanctions portal using SWIFT's secure IP network
(SIPN), see also Log in to the Sanctions Portal with HSM Certificates on page
32.
2. Click
or
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3. Select your certificate and click OK .

The Token Logon window appears.
Internet Explorer
You may have to repeat this step.

Note If you use another browser, the screens might differ. You may alos be prompted to
select your certificate.
4. Enter your token password in the Token Password field.
Your password is associated with the token as defined during the token activation (see
section ).
If you enter an incorrect password five times, your token is locked. Contact your SWIFTNet
Security Officer.
5. Click OK
The WebAccess login window appears.
6. Enter your token password and click OK
The Sanctions Screening home page appears.
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Tip Do not use the Back and Refresh buttons of your browser. Using these buttons may
interrupt your current session.
2.2 Log in to the Sanctions Portal with HSM

Certificates
You use HSM certificates to access Sanctions Screening through the multi-vendor IP network (MV-
SIPN).
Procedure
1. Open your SWIFT WebAccess URL, for example https://<hostname>/swp/group/
webaccess[release].
The login window appears.

2. Enter the name of your HSM certificate (or the virtual user name) in the SWIFTNet User Name
field.
3. Enter your password and click Login .
4. Click Other SWIFT WebAccess Services .
5. Type one of the following URLs:
• https://sanctionsscreening.browse.swiftnet.sipn.swift.com (Live)
• https://sanctionsscreeningtest.browse.swiftnet.sipn.swift.com (Test)
Note If your SWIFT Web Platform administrator have configured an application group
for Sanctions Screening, you may use the specific URLs as defined by your Web
Platform administrator. For more information on how to use an application group,
see Alliance Web Platform Server-Embedded Administration and Operations
Guide - Application Groups
6. Click Open Application .
The Sanctions Screening window appears.
2.3 Log out from the Sanctions Portal

Each screen of Sanctions Screening has a Logout button.
Procedure
1. Click Logout in the upper left corner of your screen.
2. [Optional] If you are in full-screen mode, then there is no Logout button. Exit the full-screen
mode.
For the full screen mode, see Home page window areas on page 33.
The login window appears. If you do not close the window, the secure connection remains active.
You may log in again starting at step 5 of the log in procedure.
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2.4 Home Page

Home page window display
Note When you log in to the Test service, Test is displayed in the top banner of the window
to indicate that you are logged in to the Test service.
Home page window areas

The menu displayed in green corresponds to the menu currently selected. The list of menus
available by default is as follows:
Menu Purpose
Logout To log out from the application, click Logout . When in Full Screen display mode,
Logout is not available.
Home Contains information about your login history
Full Screen Displays the application in full screen mode. Shortcut key: CTRL+M
To go back to normal display mode, click in the upper left corner of your window or
CTRL + M.
Live Messages To perform tasks such as:

• view alerts
• make decisions on messages
History Messages To view all messages:

• for which a final decision has been taken or
• with only non-blocking hits
Reports To download the audit and screening reports
Audit To view the list of logs for user activity
Administration To access to the User Management, the Message Type Management, the Hit
Reducing Rules Management, the Sanctions List Management, the Exception List
Management, the Private List Management, and the Application Configuration menus
Related information
Navigate the Interface on page 76
How to Manage Views on page 83
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Sanctions Screening Live Messages
User Guide
3 Live Messages
The Live Messages module displays alerts on messages for which a decision is required. You only
access messages in a non-final state. In this module, you review the alerts and make a decision to
abort or to release a message.
You can perform the following actions to monitor the activity:
• Create and download a single message report. For more information, see Message Reports on
page 42.
• Export the data in CSV format. For more information, see Export Data on page 77.
• Visualise the data as pie chart. For more information, see Visualise Data as Pie Chart on page
78.
• Perform calculations or counts on data. For more information, see Perform Calculations on Data
on page 90.
• Filter the messages based on hit information, see Set Advanced Filter on a Column on page
89.
Note The screening of messages is case insensitive.
3.1 Live Messages Default View

Description
SWIFT recommends that you select the following columns and save them as your default view:
• History
• Lock Status
• Type
• Sender
• Receiver
• State
• Filtered Date (Sorted Descending)
• Blocking
• Non-Blocking
• Last Operator
• Last Comment
Example
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User Guide
Related information
For more information about how to customise a view, see:
Customise your Views on page 85
3.2 Live Messages Details

Introduction
There are three options to display the message details page in the Live Messages module:
• the classic display
• the hit-oriented display
• the V4-inherited message details pane
This is set by your Administrator in the Administration > Application Configuration menu. One set
up is defined for all users.
Note The screen captures in this section show the classic display.
The classic display
Message details areas
The alerted message details window contains the following main areas:
1 Message contents See Message Content on page 37
2 General information See General Information on page 38
3 List of hits See List of Hits on page 39
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4 Hit information See Hit Information on page 40
5 Add a comment See Add a Comment on page 43
6 Decision buttons See Decision Buttons on page 40
7 Message report See Message Reports on page 42
8 Message history See Message History on page 42
9 Last comment See Last Comment on page 42
10 Current state of the alert FILTER, PENDING REVIEW, REVIEW, PASS

PROPOSED, FAIL PROPOSED
The hit-oriented display
The hit-oriented display shows more hits on your screen.
The V4-inherited display
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User Guide
The V4-inherited display shows more message line details on your screen.
3.2.1 Message Content

Description
This area displays the alerted message contents. Items in red highlight blocking hits and items in
green highlight non-blocking hits.
The screening of messages is case insensitive.
Tip Use the Font size list if you want to modify the size of the message text. The default is
12.
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User Guide
Example for an MT
See screen capture item 1 of The classic display on page 35:
Example for an MX
3.2.2 General Information

Description
This area displays general information about the message such as the sender, the receiver, the
transaction reference and the creation date. The information is retrieved from the message itself.
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User Guide
Example
3.2.3 List of Hits

Description
This area displays the list of detected hits. When a message is stopped because of blocking hits,
then all non-blocking hits are also displayed. The following information is available:
• Hit ID identifies the listed entity that generated the hit. When the hit is generated against an
entry of the customer's private list, the Hit ID starts with the prefix PV followed by 8 digits.
• Tag identifies the SWIFT field of the message that generated the hit.
By selecting one of the hits, only the string which generated the selected hit is highlighted in red in
the message. In the list of hits, the hit currently viewed is highlighted.
Example
List of alerts
See screen capture 3 of The classic display on page 35:
Hit against a private list (PV)
03 October 2022 39
User Guide
Symbols
Blocking hit A hit screened against a list set in blocking mode.(1)
Non-blocking hit A hit screened against a list set in non-blocking mode.(1)

Or a hit screened against a list set in blocking mode but for which a
non-blocking hit reducing rule has been activated.
(1) In the example, there are 9 blocking hits and 0 non-blocking hit, 9/0.
3.2.4 Hit Information

Description
This area displays information about the listed entity that generated the hit.
Example
In classic display mode, if a synonym generated the hit, an asterisk is displayed. See screen
capture item 4 of The classic display on page 35:
The More Information window
The More information link opens a window which displays additional information, such as Official
Reference, Birth Date or User Info, about the listed entity:
3.2.5 Decision Buttons

Description
This area displays a series of buttons you use to make a decision on the message.
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User Guide
You might not have access to all buttons depending on your user profile. The decision buttons may
be greyed out if you need to review all hits before you can make a decision (this is set by the
Administrator or the Compliance Officer in the Administrator > Application Configuration menu).
Example
List of decision buttons

Standard workflow
Button Description Level 1 Level 2 Level 1 and 2 Compliance

and Level 2
Pass No issue is found, the user takes ✓ ✓ ✓ ✓

the Pass decision and releases the
message.
Pending In the case of a possible true hit, ✓ ✓

the user moves the alert to a
PENDING REVIEW state.
Fail The alert is real. The user decides ✓ ✓ ✓

to reject the message.
4-eyes workflow

and Level 2
Review A user can place an alert in ✓ ✓

REVIEW for analysis at a later
time.
The same action can be taken for ✓ ✓ ✓

an alert that was proposed for
either PASS or FAIL to request that
the alert be analysed again.
Pass Proposed The user puts an alert that is ✓ ✓

considered as false positive in the
PASS PROPOSED state.
Fail Proposed The user puts an alert that is ✓ ✓

considered as true hit in the FAIL
PROPOSED state.
Pass No issue is found, and the Pass ✓ ✓ ✓

proposal is confirmed.
03 October 2022 41
User Guide

and Level 2
Fail The alert is real. The Fail proposal ✓ ✓ ✓

is confirmed.
Related information
See the following section of the Sanctions Screening Getting Started
Alert Management Workflows
3.2.6 Message Reports

Description
The Report It button allows you to create and download a report file (in PDF or RTF format) for a
specific alerted message. It contains the message information, the message history, the detailed
list of hits and synonyms. You may decide to circulate this report internally as part of the decision
process.
Example
3.2.7 Message History

Description
This button opens a window showing all the events that took place for this message. You have the
option to either add a comment or to close the Message History window. If you add a comment, the
new comment appears as a new event for this alert.
Example
3.2.8 Last Comment

Description
The Last Comment field displays the most recent comment typed in.
Example
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User Guide
3.3 Access an Alerted Message for Review

Procedure
1. From the menu, select the Live Messages module.
2. Click the alert you want to review
3. [Optional] If you do not want to take any action, click again the Live Messages module
Tip You can use the keyboard arrow keys to move around the table and press Enter to
open the message.
A navigation cursor indicates where you are in the table: .
3.4 Make a Decision

Procedure
1. From the Live Messages module, open the alert you want to review.
2. Go through the list of hits and review each of them carefully.
3. Decide what actions you want to apply to the alert.
4. Click one of the decision buttons that corresponds to your decision. See List of decision buttons
on page 41.
For a final decision, you must add a comment. See Add a Comment on page 43.
If there are several hits on the list and once the final decision is taken, it is the first hit of the list
that will be opened.
Note You might not have access to all buttons depending on your user profile. The decision
buttons may be greyed out if you need to review all hits before you can make a
decision (this is set by the Administrator in the Administration > Application
Configuration menu).
3.5 Add a Comment

When you make a final decision (Pass or Fail), a comment is mandatory.
For all decisions that are not final, for example when a Standard Level 1 user moves a message to
Pending, a comment is optional.
Procedure
1. Select the Comment field and type your comment. Maximum 1024 characters per comment.
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User Guide
2. Click Create .
When entering a comment for a final decision, do not click Create , click directly one of the
decision buttons that corresponds to your decision: Pass or Fail .
Tip To see the list of comments, click History next to the alerted message for which you
want to see the comments.
3.6 Unlock an Alerted Message

When an operator is holding an alert for review without taking any action, the alert is locked and is
not accessible to any other user.
Before you begin
To unlock an alerted message, you must have the Administrator or the Admin and Compliance
profile.
Procedure
1. From the Live Messages module, select the alert you want to unlock.
2. From the Live Messages table menu, select Unlock selected message
3.7 E-mail Notification for Alerts

Scope
The e-mail notification is an optional alert notification feature. When e-mail notification is activated
for a user, the system checks the database every 30 minutes. It then sends an e-mail if there are
any pending alerts.
The user receives an e-mail if there are alerts in the following states: FILTER, PENDING REVIEW,
REVIEW, PASS PROPOSED, and FAIL PROPOSED for messages the user sees in the Live
screen, even if he/she cannot take an action on it.
Note You can activate the e-mail notification for a distribution list of a group of users. In the
case of an alert, each individual users of the distribution list will receive an e-mail
notification. This could be considered as spam mails.
Activation of the e-mail notification

The user must define an e-mail address and a work schedule in its profile. All times in the
Sanctions portal are GMT.
03 October 2022 44
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Related information
Definitions on page 9
For more information on how to set up this feature, see steps 3 and 5 in section
Create a User on page 54
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4 History Messages
The History Messages module displays alerts on messages for which a final decision has been
taken.
This is either an alert management decision taken by a user or an automatic decision taken by the
Sanctions Screening application in one of the following situations:
• a message only has hits screened against lists set in non-blocking mode
• a message was automatically released on behalf of the receiver after 5 days (3 days in Test and
Training) for MT messages, and after 6 days (3 days in Test and Training) for MX messages
Note With the Connector option, you can configure the auto release delay.
• a message was automatically rejected on behalf of the sender after 3 days and 12 hours (in
Test and Training: 2 days for the sender part and 3 days for the receiver part) for MT messages
and 4 days (3 days in Test and Training) for MX messages
• a message was unqueued due to an emergency procedure
Note For more information about auto-released messages, see the Sanctions Screening
Service Description.
This module is for reporting or information query purposes.
You can perform the following actions to manage the information:
• Create and download message reports. For more information, see Message Reports on page
42.
• Export the data in CSV format. For more information, see Export Data on page 77.
• Visualise the data as pie chart. For more information, see Visualise Data as Pie Chart on page
78.
• Perform calculations or counts on data. For more information, see Perform Calculations on Data
on page 90.
• Filter the messages based on hit information, see Set Advanced Filter on a Column on page
89.
Note You only access messages in a final state: PASSED, FAILED, CANCELLED,
UNQUEUE, or NONBLOCKING.
Messages for which all hits have been suppressed by a good guy record are not in the
History module and the monthly reports.
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4.1 History Messages Default View

Description
• History
• Type
• Sender
• Receiver
• Blocking
• Non-Blocking
• Decision Type
• Filtered Date
• Completed (Sorted Descending)
• Last Operator
If you use filters, you must limit the filters to the following indexed columns:
• Currency
• Type
• Completed
• Creation Date
• Decision Type
• Filtered Date
• Sender
• Receiver
• Last Operator
• Amount
• Message Id
• Transaction
SWIFT does not recommend the use of filters on non-indexed columns.
Example
Related information
For more information about how to customise a view, see
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4.2 History Messages Details

Introduction
The menus and behaviour of the History Messages module are identical to those of the Live
Messages module. The only action you can take is adding comments.
Details information
You view the same details information in the History Messages module as in the Live Messages
module. See Live Messages Details on page 35.
4.3 Add a Comment

You can add a comment to an alert for which a decision has been taken. The comment is added to
the list of comments.
Note When the comment is added after the monthly audit report has been produced, this
comment will not appear in the report and will be lost.
Procedure
1. Open the alert for which you want to add a comment.
2. Type your comment in the comment field.
3. Click Create .
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5 Reports
The Sanctions Screening service provides different types of reports:
• The screening report.
• The audit report.
- The Copy Audit Report for customers using the Copy option.
- The Connector and CBPR Copy Audit Report for customers using the Connector option and
for the MX messages for customers using the Copy option.
Related information
For more information about the columns names, see:
Columns Available for View Management on page 83
For more details about the content of the monthly reports, see:
Sanctions Screening Service Description
5.1 The Audit Reports

The audit report contains only the alerts for which the state is final, except for the Copy report
which also contains alerts in a non-final state.
The Copy audit report reflects all the actions that were taken for each message (MT messages
only) that was filtered during a given week or month.
The Connector and CBPR Copy audit report reflects all the actions that were taken for each
message (MT and MX messages) on which a final decision was taken during a given week or
month.
The user information for each action indicates whether the action was taken by a user or by the
screening engine.
Frequency of the audit reports

Weekly
The weekly audit report is generated every Monday and contains, for the Connector traffic and MX
Copy traffic all the hits closed during the last calendar week, from Monday to Sunday included. For
the MT Copy traffic, the report contains all hits raised during the previous week, regardless if the
alert is final or not.
Monthly
The monthly audit report is automatically generated between the 7th and the 9th day after the end
of the month.
• to ensure that all alerts from messages that were screened during that month are completed
• to allow some time to add history comments after the alert is closed.
Note History comments added after the generation of the audit report are not included in
the report.
Reference of the audit report

Every message that is reflected in the audit report contains a configuration reference that changes
every day when the sanctions lists, the private and exceptions list and the commercial third parties
lists are updated. The reference has the following structure:
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ref[K(YYYYMMDD-T(YYYYMMDD)-K(YYYYMMDD)] where first K is Public Lists, T is Private Lists and

the second K is the commercial third parties lists. It contains the public list version (the date when
the updated list was received from the third-party application provider) and customer specific
configuration (list selection, message selection, and exception list).
Format of the audit report

Audit reports are generated as an RTF file in a zip.
5.2 The Screening Reports

The screening report reflects the subset of messages for which alert, either in blocking or non-
blocking mode, were raised. For such each message, alert details are provided, similar to the alert
information that is displayed on the Live or History alert screen.
Frequency of the screening reports

Weekly
The weekly screening report contains the hits of the last calendar week, that is from Monday to
Sunday included and is generated on Mondays.
Monthly
Monthly screening reports are automatically generated between the 10th and the 12th day of the
month that follows the reporting period.
Format of the screening reports

Screening reports are rich text format (RTF) files generated in a zip in the following formats:
• RTF
The RTF file is human readable and allows easy and fast access to the information (only
available for the monthly report).
• XML
The report in XML format is only available for the weekly reports.
The XML data is contained in an RTF file. The XML data can be exported in other tools for
additional analysis of the information, for instance to determine which names or strings are
causing many hits. For more information on how to export the report into an Excel file for
example, see the Knowledge Base Tip 5020966.
Message information
Field RTF XML
Sender ✓
Receiver ✓
Message Type ✓ ✓
Direction ✓
TRN / Transaction ID (field 20 for ✓ ✓

MT messages)
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Field RTF XML
MIR / Message ID ✓ ✓
Filtering Date ✓ ✓
Last Action Date ✓ ✓
Status ✓ ✓
Message Text, including the UETR ✓ ✓

if present in MX messages
Hit information
Field RTF XML
ID ✓ ✓
Origin ✓ ✓
Designation ✓ ✓
Official Reference ✓
Type ✓ ✓
Name ✓ ✓
Tag ✓ ✓
City ✓
State ✓
Country ✓
Hit Text (highlighted in full ✓(1) ✓

message text)
Name Synonyms ✓
(1) In the RTF report, the Hit Text is not mapped with the Hit ID. The XML report contains the mapping between the Hit Text and
the Hit ID.
5.3 Download a Report

Procedure
1. From the menu, select the Reports module.
2. Select Reports
3. Select the report you want to download and click Download
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A dialogue window prompts you to open or save the report. The reports are in a Zip file and are
either opened or saved to the specified location.
If you have downloaded a report which does not correspond to your configuration of the Sanctions
Screening service, the report will be empty.
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6 Audit
In this module, you track user activity, such as details about the users log in, log out, timeout, and
users' account management.
Before you begin
To access the Audit module, you must have the Administrator or the Admin and Compliance
profile.
Procedure
1. From the menu, select the Audit module.
2. Select Live Audit Logs
3. Click the event for which you want to see the Live Audit Log Detail window.
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7 Administration
In this module you access the User Management, the Message Type Management, the Hit
Reducing Rules Management, the Sanctions List Management, the Exception List Management,
the Private List Management, and the Application Configuration menus.
7.1 User Management

In this menu, you define user profiles, create and manage user accounts.
7.1.1 User Management Default View

Description
• Select All
• Status
• Username
• Description
• Profile
• Online
Example
Related information
For more information about how to customise a view, see
7.1.2 Create a User

Before you begin
You must have the Administrator or the Admin and Compliance profile.
Procedure
1. From the Administration > User Management menu, open the Users menu
2. Select New user. The Create User window appears.
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3. General Details
• In the Username field, type the new user name. The username is the SWIFT Distinguished
Name (DN). The DN has a size limitation of 100 lower case characters. No spaces are
allowed.
The DNs must be identical to the ones defined by the SWIFTNet security officer. See
section "Get Started with your Tokens" of the Sanctions Screening Getting Started.
Important Using another value for the Username will prevent the user to log in to the
Sanctions portal.
• [Optional] In the Description field, type a short description for the user.
• [Optional - for users using the e-mail notification feature, this field is mandatory] In the E-
mail field, type the user e-mail address.
You must enter only one e-mail address.
The e-mail address must be correct and valid. Sanctions Screening does not perform
validation on the e-mail address.
4. Password Configuration
Tick the Generate Password box.
Note Access to the portal is based on tokens and the token's password. Even though
the user will not use the password specified in this field, the Administrator must
still define a password when creating a user.
5. [Optional] Schedule
Note For users using the e-mail notification feature, this field is mandatory. The e-mail
notifications are only sent during the working hours. Schedule includes days off,
working hours and public holidays.
For more information about the e-mail notification feature, see E-mail Notification
for Alerts on page 44.
• In the Days Off list, select the days the user will not be working.
• From the Working Hours lists, select a start hour and an end hour to define the time range
when the user will be working. All times in the Sanctions portal are GMT.
• In the Public Holidays section, use the date picker to select the date of a public holiday.
If you type in the dates, you must follow the DD/MM format.
Click Add . The date is added to the list of public holidays.
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6. Access rights
• From the Profile drop-down list, select the user profile. See User Profiles on page 26.
• From the User units selection list, select ALL. It is important that you select ALL to see all
the alerted messages. See Knowledge Base tip 5023486.
7. User Preferences
From the Language drop-down list, select the language.
Note The English version of the Sanctions portal GUI is the only official version when
you contact your SWIFT Customer Support Centre.
8. Click Create
7.1.3 Modify a User

Before you begin
Procedure
1. From the Administration > User Management menu, click the user you want to modify.
The Modify User window appears.
2. You can modify:
• the General Details
• the Schedule
• the Access rights
• the User Preferences
Note To go back to the last saved user settings, click Reset.
3. Click Update.
For username, you must use the name as defined for the corresponding SWIFTNet Distinguished
Name (DN).
As an Administrator, do not change your own username.
7.1.4 Delete a User

Before you begin
The user must not be connected to the application.
Procedure
1. From the Administration > User Management menu, select the box in front of the user you
want to delete.
2. From the Users menu, select Delete selected user .
3. Click Confirm to delete the user.
Once a user is deleted, the user remains visible with the status deleted and cannot be recreated
with the same name.
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Note Check with your SWIFTNet Security Officer whether the DN must also be revoked or
disabled from the PKI tree to avoid unnecessary maintenance fee of the certificate of
the user you have deleted.
7.1.5 Disconnect a User

You may need to force an active user to log out.
Before you begin
Procedure
want to disconnect.
Note Connected users are identified with a green icon in the Online column.
2. From the Users menu, select Disconnect selected user.
The icon in the Online column is now greyed out.
7.1.6 Lock a User's Account

You may need to lock a user's account, for example, if you want to prevent a user to access the
application.
Before you begin
Procedure
want to lock.
2. From the Users menu, select Lock selected user.
3. Enter a lock comment in the Comment field
4. Click Lock .
The account is locked, the lock icon appears.
Note It does not log out an active user.
7.1.7 Unlock a User's Account

If a user has reached the maximum authorised number of failed logins (three), the account is
automatically locked. Only the Administrator can unlock locked accounts.
Before you begin
Procedure
1. From the Administration > User Management module, select the box in front of the user
whose account is locked. A locked account is identified with this icon
2. From the Users menu, select Unlock selected user.
The account is unlocked.
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7.2 Sanctions List Management

In this menu, you select the sanctions lists against which the screening is performed and set them
in blocking or non-blocking mode. In this menu, you can also de-activate a list.
For more information, see Blocking and Non-blocking Mode on page 21.
When you update your list selection settings, the future configuration appears on screen but is not
yet active. The changes are activated in a batch process that is run once per day by SWIFT
between 00:00 and 02:00 GMT. On Sundays, configuration changes are activated between 05:00
and 07:00 GMT.
Before you begin
You must have the Compliance or the Admin and Compliance profile.
Procedure
1. From the Administration module, select the Sanctions List Management menu.
2. In the Active column, select the list that you want to activate.
3. In the Mode column, set each selected list to blocking or non-blocking mode.
4. Click Update .
7.3 Exceptions and Private List Management

Purpose of an exception list
Your individual exception list enables you to reduce the volume of alerts (false positive hits). The
exception list contains the good guy records and enables you to instruct Sanctions Screening to
close alerts raised by individuals, entities or data entries that you have identified as harmless. The
screening engine uses the content of the good guys list to automatically suppress the hits raised by
records on the public sanctions lists.
Important The creation of a good guy record in an exception list should remain exceptional.
Create exceptions only when the overhead caused by recurring false positive hits is
important.
Purpose of a private list

Private lists enable you to manage your personal private list to raise alerts for data entries specific
to your institution and that are not part of the sanctions lists.
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7.3.1 Process Overview
1 2 3 4 5
Create Edit Publish Recall List
a record a record a list a list Activation
00:00–02:00GMT
daily
OR
1 2
Create your Upload
records list the file
Sanctions portal
D1340015
SWIFT
Stage See
1 Create a record Create an Exception Record on page 59

Create a Private Record on page 64
2 [Optional] - Edit the record Edit a Record on page 68
3 Publish the list Publish a List on page 69
4 [Optional] - Edit the record after publication Recall a List on page 69
5 Activate the list on the Sanctions portal - The

changes are activated in a batch process that is
run once per day by SWIFT between 00:00 and
02:00 GMT. On Sundays, configuration changes
are activated between 05:00 and 07:00 GMT.
or
1 Create a list of records Upload a List on page 71
2 Publish the list Publish a List on page 69
7.3.2 Create an Exception Record

Before you begin
You must have the Compliance , Admin and Compliance or the Compliance and Level 2 profile.
Procedure
1. From the Administration > Exception List Management menu, open the Exceptions menu
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2. Select Add new exception. The Create new Exception window appears.
3. Fill in the fields. Fields marked with an asterisk are mandatory. Name and Search Code are
mutually exclusive:
Fields Description Rules
Reference It is an internal reference not used by 64 characters maximum

the screening engine. It is suggested to
Character set is UTF8
keep a reference to your internal
process that is used to create this Tab, new line, and carriage return are not
record. It is usually the date of the allowed
creation of the record.
< and > not allowed
Name This field is the exception name you 256 characters maximum
want to register against a public list
entry.
Tab, new line, and carriage return are not
allowed
2 characters minimum
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Fields Description Rules
Search_Code This field is the exception code you want 36 characters maximum for the total of the
to register against a public list entry, see values
Name versus Search Code Field on
For each value:
page 62.
A-Z, a-z, 0-9
Wildcards _, #, ? are allowed but cannot be
the first character:
_ replaces any A to Z or a to z
# replaces any 0 to 9 character
? replaces any character
Minimum 5 characters
Blank not accepted
allowed
City City of the exception record 100 characters maximum

allowed
Country Country of the exception record 100 characters maximum

allowed
Scope Add or remove a value, using Add or 128 characters maximum for the total of the
Remove . values(1)
For each value:
A-Z, 0-9
a-z in lower case must not be used
Blank not accepted
allowed
(1) You can extend the length and add more values by creating additional records with the same Name or Search_Code
field value.
4. Click Create .
The new exception record appears in the Drafted list view with the status Drafted/New.
5. Publish the record. See Publish a List on page 69.
Related information
Knowledge Base Tip - 5020492 Creation of exception records for the Dow Jones lists
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7.3.2.1 Useful and Effective Record

A good guy record must be useful and effective:
Useful record
An exception record must match an entry in a sanctions list. That is, it must create a hit when the
exception record text (content of the Name or Search Code field) appears in a message.
Example
The term INTERNAL causes a hit against OFAC007917 because of a company called INTERPAL.
The creation of an exception record with Name =INTERNAL could therefore be useful.
Effective record
An exception record must match the message text with greater accuracy than the sanctions list
entry does.
Examples
• The match level of the message text INTERNAL is lower against the OFAC007917 record
INTERPAL than against the exceptions record INTERNAL. The exception record is able to
suppress the hit. The creation of an exception record with Name =INTERNAL is therefore
effective.
• If you frequently have sentences like LET US KNOW or LET US HAVE, you will see that the
word LET causes a perfect match against LET, a synonym of LASHKAR-E-TAYYIBA in the UN
list. An exception record with Name=LET will not be effective as it will NOT match the message
text with greater accuracy than the sanctions list entry does.
For the exception record to be effective, you need to add more information matching the text.
For instance, exception records with Name=LET US HAVE or Name=LET US KNOW will be
effective.
7.3.2.2 Name versus Search Code Field

Most of the exception records are defined using the Name field. Exceptionally, the Search Code
can be used instead.
Name
Exceptions based on the Name field use fuzzy matching logic. If you add an entry in the exception
list in the Name field, the filter will do fuzzy matching against that list entry.
As explained in section Useful and Effective Record on page 62, if the match against the exception
list entry is of a higher quality than the match against the sanctions list entry (that means the string
in the message is more similar to the exception list entry than to the sanctions list entry), then the
system will not raise the alert. The exception record is effective.
If the quality of the match against the exception list entry is equal to or lower than the match
against the sanctions list entry, then the system will still raise the alert. The exception entry is
ignored, and is therefore not effective. In some cases, it is useful to add city and country
information to make an exceptions list entry more effective. See City and Country Fields on page
63.
Search Code
Search Code-based exceptions use exact matching after removal of all punctuation characters
from the message content. For example, if the screened message contains ABC/123 X, the
equivalent Search Code would be ABC123X as the filter removes the / and the space before
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comparing the string to the Search Code. Therefore, a Search Code must not contain any
punctuation character. However, Search Code allows you to use wildcards, which may sometimes
be necessary if you want to suppress hits where the match is perfect.
Examples of situations where you may decide to use Search Code
• SEP hits on UN (and other) lists because of a company called SAFETY EQUIPMENT
PROCUREMENT (SEP). This causes dates such as 10 SEP 2013 to raise hits. Search
Code=SEP#### allows you to suppress those date hits.
• Pedro causes hits because of San Pedro, a city in Ivory Coast. It is also a common first name in
Spanish speaking countries. If you wanted to suppress all those hits, a Good Guy entry with
Name=PEDRO would not be effective as the match for the string Pedro is perfect. The solution
in that case would be to use a Search Code with more details than PEDRO: Search
Code=PEDRO? will suppress any string like Pedro Garcia without suppressing any string
containing San Pedro (as San Pedro City for instance). Note however that it will not suppress
entries like Juan Pedro with no additional character after Pedro. Since the first character of a
Search Code must not be a wildcard character, you cannot use Search Code=?PEDRO, so if
you wanted to suppress all hits in those cases, the solution would be to create 26 good guys
with Search Code=APEDRO to Search Code=ZPEDRO. This will cater for any name such as
Juan Pedro, without suppressing hits on San Pedro.
7.3.2.3 City and Country Fields

City and Country information is not screened as such, but is used by the filter to qualify a hit. That
is, a hit will have a higher match level if the city/country information contained in the sanctions list
record is present in the message.
It may happen that a hit is not suppressed by an exception record if the hit has more city/country
information than the exception record.
Examples
Hong Kong matches against OFAC009340 (similarity between HONK KONG and WONG KONG):
Name WONG, MOON CHI
AKA WONG, KAM KONG
City HONG KONG
Country CHINA
If you create an exception record with HONK KONG in the name field (and OFAC009340 in the
Scope field), it will suppress the hit against OFAC009340 if the string HONK KONG is alone in one
of the message fields. But if CHINA is present in the same message field, since CHINA matches
the country of OFAC009340, the hit will have a higher match level and the exception record will no
longer be effective. The same will apply if the string HONK KONG is repeated twice in one of the
message fields, as one of the occurrences will be considered as city information.
So an exception record with HONK KONG in the name field and no city/country information will
only suppress the hit against OFAC009340 as per the following example:
{1:F01ABNKBEBBAXXX0000000003}{2:I199ABNKBEBBXXXXN}{4:
:20:Example 1
:79:
John Bull
Hong Kong Branch
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-}
But not in the following example:

{1:F01ABNKBEBBAXXX0000000003}{2:I199ABNKBEBBXXXXN}{4:
:20: Example 2
:79:
John Bull
Hong Kong Road
Hong Kong
China
-}
If you want to suppress hits against OFAC009340 in the example 2, you must create an exception
record containing more information so that the exception record matches the message text with
greater accuracy than the sanctions list entry does. As per the following exception record example:
Name HONG KONG
City HONG KONG
Country CHN
7.3.2.4 Scope of an Exception Record

You must limit the scope of each exception record by specifying the public list IDs against which
this entry must suppress hits.
Each alert is caused by hits against one or more list, each with their public list record identifier (for
example, OFAC015081, SECO123456). The good guy record must include these public list IDs
against which a hit suppression is requested, (in the Scope field).
Example
CAMELIA hits against OFNS015081, an Iranian vessel named CAMELLIA. An exception record
with Name =CAMELIA will suppress this hit. If at a later time a new public entry CAMELI is added
to different sanctions lists, then hits against CAMELI will be suppressed as well. This is avoided by
defining the scope to OFNS015081, so that the good guy record only affect hits against that list
entry and does not affect any hits against a new list entry that may be added in the future (with the
Scope field).
7.3.3 Create a Private Record

Before you begin
Procedure
1. From the Administration > Private List Management menu, open the Private records menu
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2. Select Add new private record. The Create new Private record window appears.
3. Fill in the fields. Fields marked with an asterisk are mandatory:
Fields Description Rules Screened
Reference It is an internal reference not 64 characters maximum x

used by the screening engine.
It is suggested to keep a
reference to your internal < and > not allowed
process that is used to create
this record. It is usually the
date of the creation of the
record.
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Type Select from the drop-down list: x

Individual, Company, Vessel,
Other
Select the correct Type
according to the data you
enter: Individual if the record
contains the name of a person,
Company if the record will
contain the name of a
company, Vessel if the record
contains the name of a vessel
(boat) or Other in other cases
such as country embargoes
(see Example: Create a
Country Embargo in a Private
List on page 68),
organisations,...
The fuzzy logic is not the same
for the different types.
Name Name of the record 256 characters maximum ✓

Length of minimum 2 characters
If Type is Individual, use the
following format <LASTNAME>,
<FIRSTNAME> [<MIDDLENAME>]
Individual records must not contain
more than eight words. The title of
the Individual record are not
required.
See Knowledge Base Tip 5022152 -
Private list record for individuals.
Address Address of the record 256 characters maximum x

City City of the record 100 characters maximum See City and
Country Fields
on page 63
State State of the record 100 characters maximum See City and
Country Fields
on page 63
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Country Country record 100 characters maximum See City and

Country Fields
on page 63
3-letters ISO-Country Code
See Example:
(recommended)
Create a
Country
Embargo in a
Private List on
page 68
Search_Code All punctuation characters are 36 characters maximum for the total ✓
removed from the message of the values
field before it is matched
For each value:
against the Search_Code
field. A-Z, a-z, 0-9
Add or remove a value, using Wildcards _, #, ? allowed but
Add or Remove . cannot be the first character:
_ replaces any A to Z or a to z
# replaces any 0 to 9 character
? replaces any character
Blank not accepted
National ID Add or remove a value, using 100 characters maximum for the x
Add or Remove . total of the values
Passport For each value: x
A-Z, a-z, 0-9

Wildcards: _ # ? allowed but cannot
be the first character
Blank not accepted
BIC Code Add or remove a value, using 100 characters maximum for the ✓
Add or Remove . total of the values
For each value:
A-Z, a-z, 0-9
Wildcards: _ # ? allowed but cannot
be the first character
Blank not accepted
4. Click Create .
The new private record appears in the Drafted list view, with the status Drafted/New.
5. Publish the record. See Publish a List on page 69.
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Tip The Name field generate hits with fuzzy logic. The Search Code field generates hits
only if the match is perfect.
Important You must use one name per private record. If you need to use several names for a
listed entity, create separate individual private records.
7.3.4 Example: Create a Country Embargo in a Private List

You may use a private list to create an embargo for an entire country. Create a private record as
per the following example.
Before you begin
Procedure
1. In the Type field, select the value Other
2. In the Name field, type an asterisk *
3. In the Country field, type the ISO code BEL for Belgium
The filter will generate hits against the country name, against the country name synonyms, against
its main cities and against the BIC codes of that country.
7.3.5 Edit a Record

Before you begin
The List Status must be Editable . See List Status and List Views on page 72.
When the List Status is Published, you must first recall the record. See Recall a List on page 69.
Procedure
1. From the Administration module, select the Exception/Private List Management menu
2. Click the record you want to modify and edit the fields. See "Exception Fields description" 3 on
page 60 or "Private Fields description" 3 on page 65.
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3. Publish the list. See Publish a List on page 69.
7.3.6 Publish a List

Before you begin
The List Status must be Editable . See List Status and List Views on page 72.
Procedure
2. From the Exceptions/Private records menu, click Publish exception/private list
3. Click Confirm .
The List Status is set to Published.
The new and updated record still appears in the Drafted list view until the daily batch activation.
Once activated on the Sanctions portal, the record moves to the Published list view.
Each list with a new status Published is activated in a batch process that is run once per day by
SWIFT between 00:00 and 02:00 GMT. On Sundays, configuration changes are activated between
05:00 and 07:00 GMT. As of that time, all new messages will be screened against the updated list.
The last activation date appears in the status bar as Last export date. See List Status and List
Views on page 72.
7.3.7 Recall a List

When the List Status is Published, you cannot edit a record. You must first recall the list to be
able to edit it.
Note You may only recall a list between the moment the list status has been Published and
the daily batch file. See Process Overview on page 59.
You may not recall a single record.
Before you begin
Procedure
2. Tick the box next to the list you want to recall.
3. From the Exceptions/Private records menu, click Recall exception/Private records
4. Click Confirm .
You can now edit the record. See Edit a Record on page 68.
7.3.8 Structure of Lists

Purpose
You can upload a file containing your exceptions and private records.
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The file upload is mainly useful for the following situations:

• the initial (mass) upload of your exceptions and private records
• the alignment of your exceptions and private records between the Test and the Live services
File format
The CSV file to upload must follow the following characteristics:
• UTF-8
• Separator is a comma.
A comma in the original field will be transformed in quotes in the CSV file.
A quote in the original field will be transformed in double quote in the CSV file.
• Column header must be present at line #1. The order of the column is not important. Column
header names are case insensitive.
File name
Allowed characters for the file name are
abcdefghijklmnopqrstuvwxyzABCDEFGHIJKLMNOPQRSTUVWXYZ0123456789._- ~ .
Header columns
Mandatory header columns
Name Private list Exceptions list
Reference ✓ ✓
Name ✓ ✓
Type ✓
Search Code ✓
Scope ✓
If one of these columns is missing, the file will be rejected.

Optional header columns
Address ✓
City ✓ ✓
State ✓
Country ✓ ✓
Search Code ✓
National ID ✓
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Passport ✓
BIC Code ✓
Important The header columns spelling must be correct. Columns headers with spelling mistake
will be ignored.
If you use other columns such as Record ID or Last Publication, these columns will be ignored.
When the Search Code is filled in, only the Reference and Scope fields must have a value. Country
and City must be empty.
7.3.9 Upload a List

You can upload a file containing your exceptions and private records.
The file upload is mainly useful for the following situations:
• the initial (mass) upload of your exceptions and private records
• the alignment of your exceptions and private records between the Test and the Live services
Before you begin
You must first create a file containing all your records. The file must be in CSV format as per the
format defined in Structure of Lists on page 69.
Tip You may create or update a mass upload file from your existing records by exporting
your records in a CSV file using the comma "," as separator. See Export Data on page
77. You can use the same principle to migrate your exceptions list records and/or
your private list records from the Test service to the Live service and vice-versa.
Procedure
1. From the Administration module, select the Exception/Private List Management menu.
2. From the Exceptions/Private records menu, click Mass upload exception/private list.
3. Click Choose File and select a file to upload.
4. Click OK .
All your previous records (Drafted and Published) will be deleted and replaced with the new ones
you have just uploaded. If the upload fails, the previous records will not be deleted.
Note Fields format rules apply. If one record is not valid, the entire upload fails.
7.3.10 Delete a Record from a Drafted List

Before you begin
The list status must be Editable. See List Status and List Views on page 72 and Recall a List on
page 69.
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Procedure
2. Tick the box next to the record you want to delete.
3. From the Exceptions/Private records menu, click Delete exception/private records
4. Click Confirm .
The record is removed from the Drafted list view, but still appears in the Published list view.
7.3.11 Delete a Record from a Published List

Before you begin
The list status must be Editable. See List Status and List Views on page 72 and Recall a List on
page 69.
Procedure
2. Tick the box next to the record you want to delete.
3. From the Exceptions/Private records menu, click Delete exception/private record
4. Click Confirm .
A new record appears in the Drafted list view, with the status Drafted/Deleted.
5. Publish the list.
The record is removed from the Published list view after the daily batch activation.
7.3.12 List Status and List Views

List status
Exceptions and private lists status can either be Editable or Published.
Status bar
Last export Date of the last batch activation of the list on the Sanctions portal
List Status Editable or Published
Current Number of current records in the list

Maximum number of records per exception list is 3500
Maximum number of records per private list is 2000
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List views
For exceptions and private lists, two views are available:
• Drafted
A list with status Editable or Published that has not yet been activated on the Sanctions portal.
• Published
A list with status Published that has been activated on the Sanctions portal.
Related information
Process Overview on page 59
7.4 Hit Reducing Rules Management

For a detailed description of the rules, see the Sanctions Screening - Hit Reducing Rules User
Guide.
7.4.1 Overview of the Hit Reducing Rules

Purpose
You can select optional hit reducing rules to reduce the false positive hit rate. These rules are
designed to reduce the number of false positive hits by introducing some conditions in which the
hits are automatically suppressed, for example, the names of certain vessels matching to those of
an individual client or company. Hit reducing rules can either suppress completely the hits or
change them into non-blocking hits. The hit reducing rules may apply only to specific messaging
services (FIN and/or FINplus), specifics MTs, specific fields, and specific options of Sanctions
Screening (Copy and/or Connector).
You must activate these rules on the Sanctions portal.
Important
Before opting to activate one or more hit reducing rules, the customer must carefully assess
whether such rule(s) fit its own regulatory and compliance requirements. The hit reducing rules are
an optional feature, and the customer remains solely responsible for its decision to use it or not.
The SWIFT Sanctions Screening service is not meant to provide any advice or recommendation to
customers on which rule(s) to use or not, so in case of doubt as to their fitness for purpose, the
customer must seek advice from its Compliance, Legal or other relevant departments. As set out in
the Sanctions Screening Service Description - Customer's Roles and Responsibilities the customer
agrees that its obligations to comply with applicable sanctions, asset-freezing, or other relevant
laws and regulations are and remain its sole responsibility, and that nothing in this service
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description may be understood as conferring to SWIFT any responsibility with regard to such
compliance.
7.4.2 Activate a Hit Reducing Rule

You may activate optional rules to reduce the false positive hit rate.
The changes on the Sanctions portal are activated in a batch process that SWIFT performs once
per day between 00:00 and 02:00 GMT. On Sundays, changes are activated between 05:00 and
07:00 GMT.
Before you begin
You must have the Compliance, L2 and Compliance or the Admin and Compliance profile.
Procedure
1. From the Administration module, select the Hit Reducing Rules Management menu.
2. In the rules list, tick the box next to the rule you want to activate.
3. From the Hit Reducing Rules menu, select the Activate selected Hit Reducing Rules option.
Note Use the same procedure to de-activate a rule.
You may only see the rules that are applicable to the option you have subscribed to
(Copy, Connector, or both).
7.5 Message Type Management for FIN

With the Copy option, this feature allows you to exclude individual MT message types from the
message categories (Payments, Trade, Treasury, Securities, or Cash Management and Customer
Status messages, or All).
With the Connector option, this feature does not apply. Configure your Connector for Sanctions
to define which message types to route to Sanctions Screening for processing.
Note MX messages cannot be excluded and the MX messages that are included by SWIFT
in the FINplus service will always be screened.
By default, all MT message types are active.
The new message type selection configuration is activated on the Sanctions portal each day
between 00:00 and 02:00 GMT. On Sundays, configuration changes are activated between 05:00
and 07:00 GMT.
Before you begin
Procedure
1. From the Administration module, select the Message Type Management menu.
2. In the message list, tick the box next to the message you want to exclude.
3. From the Message Types menu, select the Deactivate selected message type option.
7.6 Application Configuration

In this menu, you define the alerted message details window display and you activate the feature
mandating a user to review all hits before making a decision.
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Before you begin

Procedure
1. From the menu, select the Administration module.
2. Select the Application Configuration menu.
The Application Configuration window appears.
3. [Optional] In the Message Configuration area, select the View all hits to decide box if you
want the user to review all hits before making a decision.
Note Ignore the View all messages to decide box as it has no effect.
4. From the Message details page style drop-down list, select the alerted message details
window display you want to use.
Three options:
• Classic message details page, see The classic display on page 35
• Hit-oriented message details page, see The hit-oriented display on page 36
• V4-inherited message details page, see The V4-inherited display on page 36
5. Click Update .
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8 Navigate the Interface

This section describes the modules and menus, the navigation behaviour, and the data selection
behaviour of the Sanctions Screening interface.
8.1 How the Interface Works

Interface window display
Interface window areas

The Sanctions Screening interface workspace contains the following main areas:
1 Menu options See Home Page on page 33
2 Views See How to Manage Views on page 83
3 Views - Table menu See How Table Menus Work on page 77
4 Horizontal navigation bar See How to Navigate and Select Data on page
80
5 Table columns(1) See Columns Menu on page 78
6 View summary(1) See The View summary on page 79
(1) The menu titles vary with the module you invoke. This screen capture is provided for illustration purposes only.
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8.2 How Table Menus Work

Window display
See items 2 and 3 of screen capture Interface window display on page 76:
Description
For modules that use views, Sanctions Screening offers a table menu with the following menu
options:
• a context-based menu
The name and contents of this menu varies according to the module you invoke and gives you
access to basic functions such as create a new item or delete an existing item.
• a Tools menu, see Tools Menu on page 77
• a Columns menu, see Columns Menu on page 78
• a View menu, see View Menu on page 79
8.2.1 Tools Menu

Menu item Shortcut key Description
Export data ALT+X Open the CSV or Excel export window to export data.
Visualization ALT+V Display the data as a pie chart.

This menu is available only if the data in the current view is
grouped. See Perform Calculations on Data on page 90.
Activate or ALT+I Refresh the live content (30 seconds).

deactivate live
content
8.2.1.1 Export Data

You use the export data menu option to export data in CSV or Excel format for monitoring or
reporting purposes. You can also export your records to create or update a mass upload file. See
Structure of Lists on page 69. It exports the data with all the displayed columns on the screen.
Procedure
1. From the Tools menu, select Export data. The CSV export window appears.
2. In the Start row field, type the row number the export will start on.
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3. In the No. of rows field, type the number of rows you want to export.
4. In the Separator field, type the character to use as a separator between each row of data.
Note You can use any character except the tab character.
5. [Optional] Select the Export column titles box if you want to export the column titles.
6. Click OK .
A dialogue window prompts you to open or save the file. The CSV or Excel file is either opened on
your desktop or saved at the specified location.
8.2.1.2 Visualise Data as Pie Chart

You want to display, for example, a pie chart of the number of users per profile.
In the User Management menu, you must first group the column Profile and then count the number
of users of the column Username.
Before you begin
To visualise data as a pie chart, you must have a grouped view.
For more information about how to create a grouped view and how to count data, see Perform
Calculations on Data on page 90.
Procedure
1. Once your data has been grouped and counted, open the Tools menu.
2. Select Visualization. The pie chart appears.
3. To close the pie chart window, click Close visualization .
8.2.1.3 Activate Live Content

When the Activate live content feature is available on a view, the server checks the database to
see if new data is available.
The update frequency is 30 seconds.
Procedure
1. From the Tools menu, select Activate live content.
The Live Content active message appears.
2. To deactivate live content on the current view, from the Tools menu, select Deactivate live
content.
8.2.2 Columns Menu

Purpose
The Columns menu gives access to the list of available columns for the current module. You use
this menu to customise the current view.
Procedure
From the Columns menu, select one or several columns by checking the box in front of the column
you want to display. A check mark appears when the column is selected. Unchecked columns
are hidden from your view.
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Two other options are available:

• Show all columns
• Hide all columns
Related information
Columns Available for View Management on page 83
8.2.3 View Menu

Purpose
The View menu groups all functions related to view management:
Menu item Shortcut Description

key
New view ALT+W Create a new view. See Create a View on page 85
Save view ALT+S Save the modifications to the current See Save a View on page 86
view.
View sharing ALT+G Open the View sharing window to See Share a View on page 87
define the current view sharing
scheme.
Delete view ALT+T Delete the current view. See Delete a View on page 87
Reset view ALT+R Reset the current view to its original See Change the Default View on
settings. page 86
Set this view as my ALT+B Set the current view as your default See Change the Default View on
default view for the current module. page 86
Data filters ALT+Y Open the Data filters window to set See Set Filters on a View on
complex filters on any of the columns page 88.
available for the current module.
Remove all sorts ALT+Z Remove all sorts on all columns. See Sorting by Column on page
80.
Remove all none Remove all operations performed on See Remove Calculations on
operations all columns. Data on page 91
The View summary

The view summary is a set of three icons, located in the upper right corner of the window(1)
Icon Description
Indicates the number and the name of the sorted columns. The sort direction is
indicated and the column names are displayed according to their sort sequence order.
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Icon Description
Indicates the number and the name of the filtered columns.
Indicates the number and the name of the grouped columns.
(1) The view summary also takes hidden columns into account. Hidden columns are the columns that do not appear in your
views.
Related information
How to Manage Views on page 83
8.2.4 Sorting by Column

Description
When the sort feature is available, the button appears in the column header. To sort the column
data, click .
Sorting options
The following sorting options are available:
Menu item Description
Sort ascending Sorts column items in ascending order.
Sort descending Sorts column items in descending order.
Remove sort Removes current column sort.
Remove all other Removes all sorts except the sort on the current column.
sorts
Remove all sorts Removes all sorts on all columns.
Data operations Opens a sub-menu to perform actions on data such as group columns and perform
calculations on data. See Perform Calculations on Data on page 90.
Quick filter Sets a filter on the column either by entering a value or by selecting one from a drop-
down list.
Data filters Opens the Data filters window to set more complex filters on any of the columns
available for the current module.
Hide column Hides the current column.
8.3 How to Navigate and Select Data

Navigating through the application
To browse through the application, use your browser's navigation buttons.
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Navigating through tables

To navigate through a table, use your keyboard arrow keys.
A navigation cursor indicates where you are in the table: .
When a table splits over two or more pages, use the pagination controls at the top and bottom of
the table:
You can use the horizontal bar to scroll through the different columns. See item 4 in Interface
window display on page 76.
Tip Within a table, you can drag columns to arrange them as you want.
Check box data

In most pages, you can select one or several elements with check boxes. A Select All box is also
available at the top of the column.
Note You cannot select multiple elements across pages.
Lists
In some pages, you can select elements from list boxes using arrows to include or exclude the
elements.
To move items from one list to the other, use the arrow buttons:
Icons Description
Move all items from the list on the left to the list on the right irrespective of any items
that are selected.
Move selected items from the list on the left to the list on the right.
Move selected items from the list on the right to the list on the left.
Move all items from the list on the right to the list on the left irrespective of any items
that are selected.
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8.4 User Session

Inactivity timeout
For security reasons, Sanctions Screening terminates a session automatically if there is no activity
for a certain period of time. The inactivity timeout in Sanctions Screening is set to 15 minutes. If a
timeout occurs, then the system automatically logs you off, and you lose any unsaved changes.
Extend a Sanctions Screening session

One minute before the inactivity timeout, a warning message with a countdown appears: click
Extend to extend your session.
User session
When you log in to the portal, you get one session and any other session open with that name is
disconnected.
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9 How to Manage Views

Introduction
Most modules use screen views where data is organised as tables. Each module offers a default
view:
• See Live Messages Default View on page 34.
• See History Messages Default View on page 47.
• See User Management Default View on page 54.
This section explains how you can customise a view by selecting different columns. This is
particularly useful for monitoring or reporting purposes. You can create as many views as needed,
save them, and share them with other users.
Access a view
In a module, all available views are displayed as a set of tabs. To access a view, click the
corresponding tab.
See item 2 in Interface window display on page 76:
Related information
View Menu on page 79
9.1 Columns Available for View Management

Description
Most modules display messages in a table, using different columns. Each module has a set of
specific columns.
List of columns
The following table lists the columns that are available in the Live Messages, History Messages, and Administration
modules:
Column name Description Live History Admin
Amount Transaction amount ✓ ✓
Application Deadline Not applicable(1)
Application Priority Not applicable(1)
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Attachments Not applicable(1)
Blocking Number of blocking hits ✓ ✓
Business Unit Live BIC of the subscriber to the Sanctions Screening service ✓ ✓ ✓
Completed Date and time the final decision was taken. ✓
Confidentiality Not applicable(1)
Constraint Date Defines the selection criterion that applies to a report. For the Reports
Type monthly reports, this is the Filtering date, for the daily audit report
(only on the test service), this is the Last decision date.
Copy Service This field contains the service code in case the message is also ✓ ✓
subject to a FINCopy service.
Creation Date Message creation date and time ✓ ✓
Currency Message currency ✓ ✓
Data Start Date Start and end date for the report selection. For the monthly reports Reports
this is the first and last date of the month. For the daily audit report
Data End Date
(only on the test service) both are yesterday's date.
Decision Type Final decision taken on the message can either be PASSED or ✓
FAILED
Description Description of the user ✓
Filtered Date Transaction filtering date and time ✓ ✓
From Application Not applicable(1)
Gateway Not applicable(1)
Generation Date Date and time of the generation of the reports Reports
History The message transaction history ✓ ✓
Holder Username of the user currently reviewing the alerted message ✓
Input/Output Message direction: sent to SWIFT or Received from SWIFT ✓ ✓
Last Comment Last comment typed by an user ✓
Last Operator Username of the last user to make a decision on the message ✓ ✓
Lock Status This icon indicates that the message is currently being reviewed ✓
by a user and is locked.
Message ID Message unique identifier, consists of the MIR of the message with ✓ ✓
the prefix SSS for a sent message, and the prefix SSR for a received
message.
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Nature Not applicable(1)
Non-Blocking Number of non-blocking hits ✓ ✓
Online This icon shows if the user is connected to the application ✓
Pairing ID Not applicable(1)
Priority Not applicable(1)
Profile Name of the profile associated with the user ✓
Receiver BIC of the receiver ✓ ✓
Related Ref. Content of field 21 (sender reference) ✓ ✓
Select All Displays a selection check box. ✓ ✓
Sender BIC of the sender ✓ ✓
State Transaction state: for example, FILTER or PENDING. ✓
Status Status of the user, can either be Active , Deleted , Locked ✓
Template Name The type of the report, can either be Final, Daily, Monthly, Screening Reports
To Application Not applicable(1)
Transaction Transaction reference number (field 20) ✓ ✓
Type Message type (such as MT 103, MT 202, pacs.008) ✓ ✓
Unit Not applicable(1)
Username SWIFTNet Distinguished Name (DN) of the operator ✓
Value Date Value date of the transaction ✓ ✓
(1) Not applicable in the current scope of the Sanctions Screening service.
9.2 Customise your Views
9.2.1 Create a View

Instead of using the default view, you can create a view to organise and display the data as you
want.
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Procedure
1. From a table view:
• Click or
• From the View menu, select New view.
The New Table View windows appears.
2. In the View name field, type the name that you want to give to the new view.
CAUTION The name of the view must be unique for the current module. To see the list of
names already used, place your cursor in the View name field.
3. [Optional] Select the Duplicate current view option if you want to base a new view using the
current view.
4. Click OK .
A new tab appears in the view list. An asterisk in the tab name indicates that the view has not been
saved:
9.2.2 Save a View

Instead of using the default view, you can create a view to organise and display the data as you
want.
Procedure
1. Create a view (or modify an existing view). An asterisk in the tab name indicates the view has
not been saved.
2. From the View menu, select Save current view. The Save Table View window appears.
3. You can either:
• change the name in the View name field to save the current view as a new view
• leave the name in the View name field unchanged so changes will be saved for the current
view
• make the view a live content view by default by selecting the Save with live content active
option
4. Click OK .
Note When a view is saved, all sorts, filters, groups, and other operations are saved as well
as the activation of the live content, if any.
9.2.3 Change the Default View

If you have created your own view, you may want to use it as your default view.
Procedure
1. Open the view that you want to set as default.
2. From the View menu, select Set this view as my default.
The new default view is saved. The next time you access the module, the view you have chosen as
your default will be used instead.
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9.2.4 Reset a View

Procedure
1. Open the view you want to reset
2. From the View menu, select Reset to current view
The view is automatically reset to its initial state.
Note You can only reset the view if you have not saved your modifications (an asterisk is
displayed in the tab name).
9.3 Share a View

After you have created and saved a view, you can decide to share it with other users. By default, a
view is for private use but you can decide to make it public.
Before you begin
You must have the Administrator or the Admin Compliance profile.
Procedure
1. From the View menu, select View sharing
2. [Optional] Select Private view to keep the view private.
or
3. [Optional] Select Public view to share the view with all users.
4. [Optional] Select Set this as the default public view to make this view the default view for all
users.
5. Click OK .
9.4 Set the Number of Rows

Before you begin
Operators with an Administrator or an Admin Compliance profile can set the number of rows to a
shared view.
Note Operators with other profiles can set the number of rows and save the change to their
own views only. They can change the number of rows to a shared view but cannot
save the view.
Procedure
1. Open the view.
2. From the View menu, select Number of visible rows.
3. Tick the appropriate number. By default, the number of rows is 15.
4. Save the view. See Save a View on page 86.
9.5 Delete a View

Procedure
1. Open the view that you want to delete.
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2. From the View menu, select Delete current view.

3. A window prompts you to confirm the deletion. Click Confirm .
9.6 Set Filters on a View

You can use two types of filter on columns:
• Quick filters
Quick filters are a fast and convenient way to filter data on the values on a given column. This
type of filtering is appropriate when searching, for example, for a sequence of letters or digits in
a message ID or username.
• Advanced filters
Advanced filters using several conditions can be set through the Data filters window. You use
this method when you need to set several conditions.
Note Both quick and advanced filters input is trimmed before the filter is set. White spaces
before and after a value are removed.
When several conditions are set, the data need to fulfil each condition to be included.
For example, an advanced filter is placed on a Live Messages view. It sets the following conditions:
• Input/output is Input
• Currency is EUR
Only messages for which the Input/output is Input and the currency is EUR will be included.
An exception exists when the IS operator is used several times on the same column. Due to the
nature of the operator, all conditions cannot be fulfilled. Therefore, the data that fulfil one condition
or the other will be included.
For example, an advanced filter is placed on a Live Messages view. It sets the following conditions:
• Amount is 10000
• Amount is 15000
All messages for which the unit is either 10000 or 15000 will be included.
9.6.1 Set a Quick Filter on a Column

Procedure
1. From a table view, click (or if the column is sorted) on the column for which you want to
set a quick filter.
Note Sort direction and order may vary.
2. In the Quick filter field:
• type a value in the field
• or select a value from the drop-down list
Note For dates and times, a date or time picker is available.
3. Click Enter .
This icon in the column header indicates a filter is set on the column.
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9.6.2 Set Advanced Filter on a Column

Unlike quick filters, advanced filters can also be applied on hidden columns. For example, you can
filter the Live or History messages based on hit information such as Hit Country, Hit Designation,
Hit ID List, Hit Name, Hit Origin, Hit Tag, or Hit Type. Note that the Hit PEP (Politically Exposed
Person) and the Hit FEP (Financially Exposed Person) are not available.
Procedure
1. From a table view, click (or if the column is sorted) on the column for which you want to
set an advanced filter.
2. Select Data filters
3. In the first field, select the column on which you want to apply the filter.
4. In the second field, select the logical operator.
5. In the third field, type the value of the condition.
Note When the column accepts a limited list of values, you must select the value from a
list. For dates and times, a date or time picker is available.
6. Click Add .
7. [Optional] Repeat steps 2 to 6 to add more conditions.
8. Click OK .
The current view is automatically refreshed to display data according to the new filter.
9.6.3 Filters Summary

Introduction
The filters summary indicates how many columns are filtered and which ones.
The filters summary also takes into account the hidden columns.
Display
9.6.4 Remove a Filter on a column

Procedure
1. Mouse over the filter icon in the column header
2. Click Click to remove this filter .

The applied filter to the columns is removed.
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9.6.5 Remove Some Conditions on a Column

Procedure
1. Open the Data filters window.
2. From the list of filters, select the condition you want to delete and click Remove .
3. Click OK .
9.7 Perform Calculations on Data

Introduction
To perform operations on columns data, such as calculations or counts, you must first group all the
data belonging to these columns.
You will also then be able to visualise the grouped data as a pie chart, see Visualise Data as Pie
Chart on page 78.
Example
For example, you want to know how many messages there are for each decision type. You must
first group the Decision type column and then perform the count operation on the Amount
column.
9.7.1 Create a Grouped View

Procedure
1. From a table view, click the icon on the column you want to perform a calculation. In this
example: Decision type
2. Select Data operations.
3. Select Group this column
The icon appears in the column header and indicates that the column is grouped.
Go to step 1 of Perform a Calculation on page 90
9.7.2 Perform a Calculation

Procedure
1. Click on the column you want to perform a calculation. In this example: Count rows.
3. Select Count rows.
The icon appearing in the column header indicates that the rows data is counted for this column.
03 October 2022 90
User Guide
Example display
There are 29 PASSED, 9 FAILED, and 22 NONBLOCKING alerted messages.
9.7.3 Calculation Operations

The following calculation operations are available:
• Count rows
• Count distinct values
• Sum
Only available on columns containing numeric values.
• Average value
• Minimum value
• Maximum value
9.8 Remove Calculations on Data

You use this feature to remove the operations such as counts and calculations that you have
performed on data.
9.8.1 Remove an Operation

Procedure
1. From a table view, click on the column for which you want to remove the operation.
3. Select Remove operation.
The operation on the current column is removed.
9.8.2 Remove all Operations

Procedure
1. From a table view, click on any column.
3. Select Remove all operations.
03 October 2022 91
User Guide
The operations on all columns are removed.
9.8.3 Remove all Other Operations

Procedure
1. From a table view, click on the column for which you want to remove the operation.
3. Select Remove all other operations.
The operations on all columns are removed except for operations on the current column.
03 October 2022 92
Sanctions Screening Copy Option: Routing Rules of MT 019 and xsys.012 Messages
User Guide
Appendix A Copy Option: Routing Rules of MT 019

and xsys.012 Messages
Note This is applicable if you subscribe to the Sanctions Screening service as a sender.
Sanctions Screening can be applied to outgoing and/or incoming messages.
Sent messages that are stopped by the screening engine must be reviewed by your alert
management staff. If a FAIL decision is made for a message meaning the message is designated
as a True Hit, then that message will not be forwarded to your counterparty. The FAIL decision on
the Sanctions portal will cause the message to be aborted.
• When screening MT messages
This will generate an MT 019 Abort Notification message with error code S1 (field 432).
The MT 019 is a standard FIN system message that you can already receive today, outside of
the context of the Sanctions Screening service. Since its occurrence is very rare, it is important
that you verify the routing setup for this message.
• When screening MX messages
This will generate an xsys.012 Failed Delivery Notification message with error code S1 (field
Sw:AckInfo), for example:
<Sw:AckInfo>SwRejectCode=S1;InformCopyName=tss</Sw:AckInfo>
<Sw:AckDescription>Refusal received</Sw:AckDescription>
The xsys.012 is a standard MX system message that you can already receive today, outside of
the context of the Sanctions Screening service. Since its occurrence is very rare, it is important
that you verify the routing setup for this message.
As a Sanctions Screening service user, you might receive an MT 019 or an xsys.012 message
when the following three conditions apply:
1. it concerns an outgoing message (a message that was sent by your institution)
AND
2. the message was alerted with at least one blocking hit
AND
3. the message was declared as a true positive by your alert management staff
OR
the message was auto-aborted by the Sanctions Screening service after 3.5 calendar days for
MT messages and 4 calendar days for MX messages (in Test and Training, 2 days for MT
messages and 3 days for MX messages.
03 October 2022 93
Sanctions Screening Copy Option: Routing Rules of Field 433 and
User Guide Sw:ThirdPartyToReceiverInformation
Appendix B Copy Option: Routing Rules of Field 433

and Sw:ThirdPartyToReceiverInformation
Note This is applicable if you subscribe to the Sanctions Screening service as a receiver.
Received messages that are stopped by the screening engine need to be reviewed. Whenever the
Allow or Block decision is made, the messaging service releases the message for delivery to your
interface together with an indicator that reflects that decision:
• when screening MT messages
the indicator is field 433
• when screening MX messages
the indicator is field Sw:ThirdPartyToReceiverInformation enclosed in a SwGbl:Text tag, for
example:
<Sw:ThirdPartyToReceiverInformation>
<SwGbl:Text>AOK/NO HIT DETECTED</SwGbl:Text>
</Sw:ThirdPartyToReceiverInformation>
This field is located in the InformCopy section of the InterAct headers of the message.
Note To route your MX traffic with the SwGbl:Text indicators, you must use Alliance
Messaging Hub 4.1.4 or Alliance Access 7.6.50. If you use another messaging
interface, contact your interface vendor to check if an upgrade is required.
A similar indicator is present in the messages that are screened but for which no hits are found.
You can visualise the screening result in the message display or print functions on your interface.
You can also configure the message routing so that, as a minimum, the True Hit messages can be
routed to a special queue.
As a minimum, to avoid the processing and execution of Not OK (NOK) messages, you are
expected to define message routing rules, either in the messaging interface or in the back-office
application.
List of codes for field 433 and tag SwGbl:Text
Code Description Decision Field 433 is tag SwGbl:Text is

word
AOK The message was screened and Not visible on the /AOK/NO HIT AOK/NO HIT
no hits were found against any of Sanctions portal. DETECTED DETECTED
your selected sanctions lists. NOHIT status in
the Audit report.
The message was screened and NONBLOCKING /AOK/NON AOK/NON BLOCKING

hits were found exclusively BLOCKING HIT HIT
against sanctions lists that you
have selected in non blocking
mode.
The message was not screened Not visible on the /AOK/EXCLUDED AOK/EXCLUDED
as per you configuration to Sanctions portal.
exclude MTs or as it is an NONCHECKING
unsupported MX message. status in the Audit
report.
03 October 2022 94
Code Description Decision Field 433 is tag SwGbl:Text is

word
The message was UNQUEUED UNQUEUE /AOK/NOT AOK/NOT REVIEWED

by SWIFT as part of an REVIEWED
emergency procedure.
FPO The message was screened and PASSED /FPO/FALSE FPO/FALSE

found to have at least one hit POSITIVE POSITIVE
against a public list or lists that
you selected in blocking mode.
The alert was reviewed by the
Level 1 (and possibly also the
Level 2) user and was declared
as False Positive.
NOK The message was screened and FAILED /NOK/SUSPECT NOK/SUSPECT

found to have at least one hit
The alert was reviewed by the
Level 1 and the Level 2 user and
the Level 2 user declared this
message as a True Hit (Fail
decision).
The message was screened and CANCELLED /NOK/NOT NOK/NOT REVIEWED

found to have at least one hit REVIEWED
No final operator decision was
made within the maximum
allowed time, that is at most five
days for received messages in
Live (two days in Test and
Training). The message was
released automatically by the
screening engine.
Under very rare circumstances,
this status may also be used if
the message could not be
successfully screened.
This case should never occur. As
described in the Sanctions
Screening Service Description,
the customer is expected to
process the alerts within one
business day.
Status used in case the /NOK/ERROR NOK/ERROR

additional controls performed by
SWIFT would detect a potential
inconsistency between the
network status and the Sanctions
portal.
03 October 2022 95
Note When an alert raised by names on the public sanctions lists is closed by a good guy
record, it appears as if there was no hit (no difference in the field 433 and in the Audit
report).
Related information
For more information, see the Alliance Access Configuration Guide, section Configuration for
Sanctions Screening and Transaction Screening for FIN Messages.
03 October 2022 96
Sanctions Screening Screening and Audit Reports
User Guide
Appendix C Screening and Audit Reports

The reports provide the customer with both a summary and a detailed information section for all
messages that have been screened.
Audit report scope
Copy Audit Report: MT messages exchanged with the Copy option
Connector and CBPR Copy Audit Report: Any message exchanged with the Connector option and
MX messages exchanged with the Copy option
Screening report Copy Audit Connector and

report CBPR Copy
Audit report
Summary
The total number of incoming and outgoing messages for the following categories:
Messages with only non-blocking hits ✓ ✓ ✓
False positives ✓ ✓ ✓
True hits ✓ ✓ ✓
Messages without hits ✓
Messages excluded by the customer at the ✓

level of the screening engine
Details
For each alerted message:
Final alert status ✓ ✓ ✓

PASS (false positive)
FAIL (true hit)
CANCEL (auto released)
UNQUEUE (released on behalf of the
customer centrally by SWIFT)
The Message Input Reference (MIR) of the ✓ ✓

message
The Message ID (MsgId) ✓
Message Type ✓ ✓ ✓
Filtering date ✓ ✓ ✓
Decision date ✓ ✓ ✓
Transaction Reference Number (TRN, field 20 ✓ ✓

for MT messages)
03 October 2022 97
Sanctions Screening Screening and Audit Reports
User Guide
Screening report Copy Audit Connector and

report CBPR Copy
Audit report
UETR if present in the message text (for MX ✓

messages)
Transaction ✓
For each hit, details on the origin and the ✓

nature of the record it hits against
All operator activity (only for false positives and ✓ ✓

true hits):
Date, Action, Operator name, and Operator
comment
Public, exception and private lists configuration ✓ ✓

reference
User comments added in the history record of ✓ ✓

screened messages
03 October 2022 98
Sanctions Screening Z Character Set
User Guide
Appendix D Z Character Set

The Z character set contains all the characters in the X and the Y character sets as well as the
additional characters {, @, _, and #.
X character set - SWIFT
Character set Code
Alphabetical characters EBCDIC

A to Z (upper case)
a to z (lower case)
Numeric characters EBCDIC

0 to 9
Special characters EBCDIC

/ - ? : ( ) . , ' + CrLf SPACE
Y character set - EDIFACT Level A
Character set Code
Alphabetical characters EBCDIC

A to Z (upper case)
Numeric characters EBCDIC

0 to 9
Special characters EBCDIC

/ - ? : ( ) . , ' + = ! " % & * < > ;
SPACE
03 October 2022 99
Sanctions Screening Check the Certificate Authenticity
User Guide
Appendix E Check the Certificate Authenticity

At each log in, you can check the Sanctions portal server's SSL certificate authenticity.
Procedure
1. Do steps 1 to 3 of the Log in to the Sanctions Portal with Tokens on page 30
2. Before you click Login , click the lock at the right side of the address bar and select View
Certificates
A window with the information about the Sanctions portal certificates appears. Check in the
Valid from/to field that the certificate is still valid.
3. If ok, go to the Display the Certificate window
4. Click the Certification Path tab.
The following two nodes must appear:
1. the root Certification Authority (CA) that issued the Sanctions portal server certificate
2. the Sanctions portal server certificate itself
5. Select the first node and click View Certificate. The General tab appears. In the Valid from/to
field, check that the certificate is still valid
6. Select the Thumbprint in the field column on the Details tab. The Fingerprint of the CA that
certified the Sanctions portal certificate appears in the lower frame.
7. Check that the value matches the one published in the Knowledge Base tip SWIFTNet
Certification Authority on Production sha-1, available at www.swift.com > Support > Knowledge
Base > Tip28660
8. If the verification succeeded, close all open certificates window and continue with step 4 of
the procedure described in Log in to the Sanctions Portal with Tokens on page 30. If the
verification failed because of obsolete validation or Thumbprint mismatching, contact SWIFT.
03 October 2022 100

Sanctions Screening Excluded FIN Fields
User Guide
Appendix F Excluded FIN Fields

Extended fields exclusion list for the Copy option:
Field Name
11A Currency
11R MT and Date of the Original Message
11S MT and Date of the Original Message
12 Message Type
12B Type of Financial Instrument
12C Type of Financial Instrument
12D Option Type
12E Expiration Style
12F Option Style
12G Early Termination Style
13A Number Identification
13C Time Indication
13D Date/Time Indication
13J Number Identification: Statement Number
13K Number Identification
14A Business Day Convention
14B Average Strike Price Calculation
14C Year of Definitions
14D Day Count Fraction
14G Averaging Frequency and Method
14J Reset Date Specification
14S Settlement Rate Source
15A New Sequence
15B New Sequence
15C New Sequence
03 October 2022 101

User Guide
Field Name
15D New Sequence
15E New Sequence
15F New Sequence
15G New Sequence
15H New Sequence
15I New Sequence
15J New Sequence
15K New Sequence
15L New Sequence
15M New Sequence
15N New Sequence
15O New Sequence
15P New Sequence
16A Number of Settlements
16C Decimal Places
16R Start of Block
16S End of Block
17A Buy (Sell) Indicator
17B Flag
17E Clearing Threshold Indicator
17F Period End Date Adjustment Indicator
17G Gain (Loss) Indicator
17H Allocation Indicator
17I Payment versus Payment Settlement Indicator
17L Portfolio Compression Indicator
17M Corporate Sector Indicator
17N Net Settlement Indicator
03 October 2022 102

User Guide
Field Name
17O Open Indicator
17P Collateralisation Indicator
17Q Trade with Non-EEA Counterparty Indicator
17R Party A's Role
17S Intragroup Trade Indicator
17T Block Trade Indicator
17U Split Settlement Indicator
17V Buy (Sell) Indicator
17W Non Standard Flag
17X Commercial or Treasury Financing Indicator
17Y Financial Nature of the Counterparty Indicator
17Z Collateral Portfolio Indicator
18A Number of Repetitions
18B Number of Spot Averaging Dates
18C Number of Strike Averaging Dates
18D Number of Observation Dates
19 Sum of Amounts
19A Amount
19B Amount
19C Adjustment
19Y Spot Averaging Weighting Factor
19Z Strike Averaging Weighting Factor
22 Code/Common Reference
22A Type of Operation
22B Financial Centre
22C Common Reference
22D Compounding Type
03 October 2022 103

User Guide
Field Name
22E Type of Payment
22F Indicator
22G Type of Barrier
22H Indicator
22J Type of Trigger
22U Underlying Product Identifier
22X Type of Exchange
22Y Frequency of Early Termination
22Z Underlying Product Identifier
23A Identification of the Swap
23B Bank Operation Code
23C Calculation of Settlement Amount
23D Type of FRA
23G Function of the Message
23H Function of the Message (New field in SR2018)
23S Cancellation Request (New field in SR2018)
24B Reason
25D Status
26A Serial Numbers
26B Serial Numbers
26C Identification of the Commodity
26E Number of Amendment
26F Settlement Type
26T Transaction Type Code
27 Sequence of Total
28 Page Number/Continuation Indicator
28C Statement Number/Sequence Number
03 October 2022 104

User Guide
Field Name
28D Message Index/Total
28E Page Number/Continuation Indicator
29E Expiration Location and Time
29H Location of Trigger Hit
29J Location and Time for Start Date
29K Location and Time for End Date
29L Expiry Details
29M Latest Exercise Time
29N Cash Settlement Valuation Details
30 Value Date
30F Payment Date
30G Variable Notional Start and End Date
30H Touch Payment Date
30J Final Settlement Date
30M Spot Averaging Date
30N Strike Averaging Date
30P Termination Date
30Q Period End Date
30S Settlement Date
30T Trade Date
30U Date of Trigger Hit
30V Value Date
30X Expiration Date
30Y Commencement Date
30Z Cash Settlement Payment Date
31C Date of Issue
31E Final Settlement Date
03 October 2022 105

User Guide
Field Name
31G Expiry Details
31L Payable Date
31S Call Date
31X Ex Date
32A Value Date, Currency Code, Amount
32B Currency and Transaction Amount
32C Value Date, Currency Code, Amount
32D Amount of Charges
32E Settlement Currency
32F Quantity of the Commodity
32G Currency, Amount
32H Currency, Payment Amount
32K Amount Collected
32M Currency, Payment Amount
32Q Currency Pair
32R Amount to be Settled
32U Outstanding Notional Currency and Amount
33A Net Amount
33B Currency/Instructed Amount
33C Value Date and Adjustment Amount
33D Total Amount Debited
33E Reporting Currency and Tax Amount
33F Calculation Notional Currency and Amount
33G Price per Unit
33H Vega Notional Amount
33J Reporting Currency and Tax Amount
33K Amended Maturity Date, Currency Code, Amount
03 October 2022 106

User Guide
Field Name
33S Collateral Requirement
33T Market Price of Securities
34A Total Amount Claimed
34B Premium Currency and Amount
34C Commission and Fees (New field in SR2018)
34E Currency and Interest Amount
34F Credit Floor Limit Indicator
34J Currency and Interest Amount
34P Premium Payment
34R Premium Payment
35A Quantity of Securities
35C Coupon Collected
35D Coupon Collected
35H Adjustment to the Collateral
35N Quantity of Securities Recalled/Returned
35S Quantity of Securities Transferred as Collateral
35U Dividend/Interest Rate
36 Exchange Rate
36B Quantity of Financial Instrument
36C Quantity of Financial Instrument
36D Quantity of Financial Instrument
36E Quantity of Intermediate Securities
37G Interest Rate
37H Interest Rate
37J Interest Rate
37K Premium Price
37L Tax Rate
03 October 2022 107

User Guide
Field Name
37M Total Rate
37P New Fixed Rate
37R Spread
37U Fixed Rate
37V Cap Rate
38A Period of Notice
38D Contract Period
38E Designated Maturity
38G First Stub Period, Interpolation Period
38H Last Stub Period, Interpolation Period
38J Number of Days
39A Percentage Credit Amount Tolerance
39B Maximum Credit Amount
40A Form of Documentary Credit
40B Form of Documentary Credit
40F Applicable Rules
44C Latest Date of Shipment
49 Confirmation Instructions
60F Opening Balance
60M Opening Balance
62F Closing Balance
62M Closing Balance
64 Closing Available Balance
65 Forward Available Balance
68A Details of Cheques
69A Period: Statement Period
69B Period: Statement Period
03 October 2022 108

User Guide
Field Name
69C Period: Trading Period
69D Period: Trading Period
69E Period: Trading Period
69F Period: Trading Period
69J Period: Trading Period
71A Details of Charges
71F Sender's Charges
71G Receiver's Charges
77H Type, Date, Version of the Agreement
90A Price
90B Price
90C Number and Sum of Entries
90D Number and Sum of Entries
90E Price
90F Price
90J Price
90K Price
90L Price
92A Rate
92B Exchange Rate
92D Rate
92F Rate
92H Rate
92J Rate
92K Rate
92L Rate
92M Rate
03 October 2022 109

User Guide
Field Name
92N Rate
92P Rate
92R Rate
93A Balance
93B Balance
93C Balance
93D Balance
93E Balance
93F Balance
94A Scope of Operation
97C Account
98A Date
98B Date/Time
98C Date/Time
98D Execution Timestamp
98E Preparation Date/Time
98F Date/Time
98G Confirmation Timestamp
98H Clearing Timestamp
99A Number Count
99B Number Count
99C Number of Trades
03 October 2022 110

Sanctions Screening Legal Notices
User Guide
Legal Notices
Copyright
SWIFT © 2022. All rights reserved.
Restricted Distribution
Do not distribute this publication outside your organisation unless your subscription or order
expressly grants you that right, in which case ensure you comply with any other applicable
conditions.
Disclaimer
The information in this publication may change from time to time. You must always refer to the
latest available version.
Translations
The English version of SWIFT documentation is the only official and binding version.
Trademarks
SWIFT is the trade name of S.W.I.F.T. SC. The following are registered trademarks of SWIFT:
3SKey, Innotribe, MyStandards, Sibos, SWIFT, SWIFTNet, SWIFT Institute, the Standards Forum
logo, the SWIFT logo, SWIFT gpi with logo, the SWIFT gpi logo, and UETR. Other product, service,
or company names in this publication are trade names, trademarks, or registered trademarks of
their respective owners.
03 October 2022 111

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Sanctions Screening

Link to this document: https://www2.swift.com/go/book/book123786

1 Introduction to Sanctions Screening.....................................................................................................7

2 Access the Sanctions Portal................................................................................................................ 30

3.2.7 Message History..........................................................................................................................42

7.3.9 Upload a List................................................................................................................................71

8 Navigate the Interface .......................................................................................................................... 76

9 How to Manage Views........................................................................................................................... 83

9.7.2 Perform a Calculation..................................................................................................................90

Appendix A Copy Option: Routing Rules of MT 019 and xsys.012 Messages......................................... 93

Appendix B Copy Option: Routing Rules of Field 433 and Sw:ThirdPartyToReceiverInformation........94

Appendix C Screening and Audit Reports...................................................................................................97

Appendix D Z Character Set..........................................................................................................................99

Appendix E Check the Certificate Authenticity......................................................................................... 100

Appendix F Excluded FIN Fields.................................................................................................................101

1 Introduction to Sanctions Screening

Different screening options

The Copy option

Connector for Sanctions on Alliance Access

Connector for Sanctions

Blocking or non-blocking Lists are activated in blocking mode or non-blocking mode.

Customer A customer is a subscriber to the Sanctions Screening service.

FINplus FINplus delivers the SWIFT core, store-and-forward, message-processing

Hit A hit occurs when a string in a message matches an element of the

Pseudo-NAK A pseudo-NAK is a technical notification that can be issued by the interface

REVIEW state This state only applies to the 4-eyes workflow.

Suspect A suspect message is a message that has generated a hit requiring

1.3 Communication Flows with the Copy Option

Outgoing messages: the sender subscribes to the service

Sanctions portal Screening engine

The flows for outgoing messages are as follows:

Step Flows Comments

1 A customer, the sending institution, sends a

Step Flows Comments

3 The screening engine screens the message against

The screening engine does not generate an alert:

5 The screening engine automatically releases the

6a - no hit SWIFT delivers the message to the receiver.

The screening engine generates an alert:

4 If an alert is generated by a match against a list set in In non-blocking mode, SWIFT

5 The screening engine communicates to the Inform

Incoming messages: the receiver subscribes to the service

Screening engine Sanctions portal

Step Flows Comments

1 A financial institution sends a message to a receiver

3 The screening engine screens the message against

The screening engine does not generate an alert:

5 The screening engine automatically releases the

Step Flows Comments

6a - no hit SWIFT delivers the message to the receiver.

The screening engine generates an alert:

4 If an alert is generated by a match against a list set In non-blocking mode, SWIFT

5 The screening engine communicates the receiver's

1.4 Communication Flows with the Connector for

The flows are as follows:

Step Flows Comments

2 Alliance Access sends the message to the Connector for

4 The screening engine screens the message against the lists

6 The Connector for Sanctions on Alliance Access receives the

Step Flows Comments

7a - no hit, Messages confirmed with no hit or false positive can be sent to

1.5 Selection of Messages for Sanctions Screening

1.5.1 Selection of MT Traffic to Screen (on FIN)