Adding sanctions list entries

The overview of the sanctions list entries shows all the entries that are part of the sanctions lists. You can manually add entries to sanctions lists, for example, to a blacklist or whitelist.

To add a sanctions list entry:

  1. Select Compliance > Manage Sanctions List Entries.
  2. Click Create.
  3. Specify this information:
    Primary Name
    The primary name field contains the common name. In the case of a person, it can be filled with first names and surname. In the case of a company, the field can contain the company name.
    The primary name is required to create blacklist and whitelist entries. If the names list contains no entries, an entry for the names list is created using the primary name.
    Type of Entry
    Specify what type of entry it is.
    Sanctions List Name
    Specify the name of the sanctions list.
    List Type
    This field shows the entity that provides the data from which you want to run an inquiry.
    Link Information
    Through this link you can get background information on why an entry is included in the sanctions list.
    Created On
    This field shows the date on which the list or list entry was created.
    Status
    This field shows the status of the sanctions list entry:
    • NEW: An entry that was newly created.
    • PROCESSED: An entry that is currently part of a sanctions list.
    • OUTDATED: If an entry is updated through an update or manually, the previous content of this entry is stored as a new entry with the status OUTDATED.
      Note: Changes in black lists and white lists and automatic updates of sanctions lists do not generate an OUTDATED status.
    • DELETED: If an entry is deleted through an automatic update or manually by the user, the entry is set to DELETED status.
    Original Name
    This field contains the name in the original writing.
    Gender
    This field shows the gender of the person.
    External ID

    The External ID is an ID that is used within the sanctions list to identify an entry.

    Example: If there is an entry with the External ID 7262 in the Compliance Monitor, then you will find relevant information about the 7262 entry in the source file of the EU. This ID is used as part of the update process. It is used to determine whether there is already a sanctions list entry with the ID that is specified in the source file. Additionally, it is used to examine whether this existing record must be updated.

    The USCL and the METI EUL sanctions lists are exceptions. They do not contain such IDs. Instead, a checksum is generated from the entry in the source file and used as External ID.

    Version
    The field shows an internal version number of the sanctions list, which is incremented at the end of each update process. The number increases after manual or automatic updates of a sanctions list.
    Last Update
    This field shows the date and time at which the update was last attempted.
  4. Optionally, click Names.
  5. Click Create.
  6. Specify this information:
    Name
    A name.
    Type
    This field shows the type of name.
    Quality
    This field provides information about the quality of the entry, that is, how reliable it is. The poorer the quality of an entry, the less meaningful it is. You can use this field to decide whether the result of a compliance check is relevant for you.
    Title
    This field shows the person's title, if available.
    Function
    This field shows the person's function.
    Registration Date
    This field displays the date from which this entry is valid or on which it was added to the list.
    Expiry date
    This field shows the date until which a person or organization is subject to sanctions.
    Link Information
    Through this link you can get background information on why an entry is included in the sanctions list.
    Legal Information
    In automatically generated lists, this field can show the name of a publication. In this publication, the sanctions against the person who is concerned were made public or explained.
    Status
    This field shows the status of the name:
    • NEW: An entry that was newly created.
    • PROCESSED: An entry that is currently part of a sanctions list.
    • OUTDATED: If an entry is updated through an update or manually, the previous content of this entry is stored as a new entry with the status OUTDATED.
      Note: Changes in black lists and white lists and automatic updates of sanctions lists do not generate an OUTDATED status.
    • DELETED: If an entry is deleted through an automatic update or manually by the user, the entry is set to DELETED status.
    Other
    This field is used for sanctions lists that contain unformatted name information.
  7. Click OK.
  8. Optionally, click Addresses to specify addresses that are part of sanctions lists entries.
  9. Click Create.
  10. Specify this information:
    Street
    This field shows the street name.
    City
    A name of the city.
    Postal Code
    The postal code.
    Country
    This field shows the country.
    Country Name
    If available, a name for the country is displayed.
    Country Subdivision Code
    This field shows the country subdivision code.
    External ID

    The External ID is an ID that is used within the sanctions list to identify an entry.

    Example: If there is an entry with the External ID 7262 in the Compliance Monitor, then you will find relevant information about the 7262 entry in the source file of the EU. This ID is used as part of the update process. It is used to determine whether there is already a sanctions list entry with the ID that is specified in the source file. Additionally, it is used to examine whether this existing record must be updated.

    The USCL and the METI EUL sanctions lists are exceptions. They do not contain such IDs. Instead, a checksum is generated from the entry in the source file and used as External ID.

    Registration Date
    This field displays the date from which this entry is valid or on which it was added to the list.
    Expiry Date
    This field shows the date until which a person or organization is subject to sanctions.
    Link Information
    Through this link you can get background information on why an entry is included in the sanctions list.
    Legal Information
    In automatically generated lists, this field can show the name of a publication. In this publication, the sanctions against the person who is concerned were made public or explained.
    Status
    This field shows the status of the address:
    • NEW: An entry that was newly created.
    • PROCESSED: An entry that is currently part of a sanctions list.
    • OUTDATED: If an entry is updated through an update or manually, the previous content of this entry is stored as a new entry with the status OUTDATED.
      Note: Changes in black lists and white lists and automatic updates of sanctions lists do not generate an OUTDATED status.
    • DELETED: If an entry is deleted through an automatic update or manually by the user, the entry is set to DELETED status.
    Other
    This field is used for sanctions lists that contain unformatted address information. In these cases, usually no detailed information such as city or street is available.
  11. Click OK.
  12. Optionally, click Proof of Identity.
  13. Click Create.
  14. Specify this information:
    ID
    The proof of identity ID.
    Proof of Identity Issue Date
    The issue date of the proof of identity.
    Proof of Identity Expiry Date
    The expiry date of the proof of identity.
    Country
    The country in which the proof of identity was issued.
    Country Name
    If available, a name for the country is displayed.
    External ID

    The External ID is an ID that is used within the sanctions list to identify an entry.

    Example: If there is an entry with the External ID 7262 in the Compliance Monitor, then you will find relevant information about the 7262 entry in the source file of the EU. This ID is used as part of the update process. It is used to determine whether there is already a sanctions list entry with the ID that is specified in the source file. Additionally, it is used to examine whether this existing record must be updated.

    The USCL and the METI EUL sanctions lists are exceptions. They do not contain such IDs. Instead, a checksum is generated from the entry in the source file and used as External ID.

    Registration Date
    This field displays the date from which this entry is valid or on which it was added to the list.
    Expiry Date
    This field shows the date until which a person or organization is subject to sanctions.
    Link Information
    Through this link you can get background information on why an entry is included in the sanctions list.
    Legal Information
    In automatically generated lists, this field can show the name of a publication. In this publication, the sanctions against the person who is concerned were made public or explained.
    Status
    This field shows the proof of identity status:
    • NEW: An entry that was newly created.
    • PROCESSED: An entry that is currently part of a sanctions list.
    • OUTDATED: If an entry is updated through an update or manually, the previous content of this entry is stored as a new entry with the status OUTDATED.
      Note: Changes in black lists and white lists and automatic updates of sanctions lists do not generate an OUTDATED status.
    • DELETED: If an entry is deleted through an automatic update or manually by the user, the entry is set to DELETED status.
    Other
    This field is used for sanctions lists that contain unformatted proof of identity information. In these cases, usually no detailed information such as proof of identity ID or expiry date is available.