Run screening

Once the Name Sanctions Screening (NSS) skill is installed and the configuration is complete, you can initiate screening in one of the following ways:

• Start a Business Process (BP) from Control Tower
• Call the NSS REST API
• Start a BP from REST API with a CSV file

Start Business Process from Control Tower

Core NSS Business Process

The figure below is a sample NSS BP core workflow:

To start the core BP, do the following:

1. In the Control Tower main menu, go to Digital Workers, click View All, and find the Name Sanctions Screening group.

   

2. In the group, click the variation you wish to use. On the variation details page, open the core Names Screening vX.X.X BP definition.

   

3. On the Data tab, you don't need to upload a data file. The input data is either sourced from a CSV file in the S3 location or a screening system, depending on the NSS configuration.

4. Go to the Run tab and start the BP.

   

Once all entities from the input file are processed, the BP automatically ends and uploads a report to S3 MinIO.

note

You can set the NSS Core BP to run on schedule. To configure the schedule, refer to the Schedule Business Process topic.

Names Screening Ticker Lookup Business Process

The NSS skill contains the Name Screening Ticker Lookup BP designed to maintain accurate and current ticker data within the NSS internal storage by fetching it from https://www.sec.gov/, which is a reliable source for financial information. The BP ensures that the internal storage of ticker data for various financial instruments is kept up-to-date and guarantees compliance with regulatory requirements.

To view the BP, do as follows:

1. On the Digital Workers page, in the Name Sanctions Screening group, click the required BP variation.

   

2. In the list of available BP definitions, open the Name Screening Ticker Lookup BP definition.

   

3. In the Business Process window, go to the Workflow tab.

   

You can set the BP to update ticker information with the desired frequency, depending on your specific needs: daily, weekly, or monthly. To configure the schedule, refer to the Schedule Business Process topic.

info

To minimize disruption to the production environment, it is recommended to schedule the Name Screening Ticker Lookup BP outside of regular production working hours so it does not interfere with the execution of critical BPs.

Names Screening TR Ongoing Monitoring

The Business Process allows the screening to be automatically executed based on monitored events. It is used if you select the Proactively using event-based monitoring option when configuring the NSS input settings.

The Business Pocess uses the Monitor Results Polling Connector to proactively get results from the data provider (currently, only Thomson Reuters CLEAR) and then asynchronously call the core NSS BP to process the results. To view the BP, do as follows:

1. On the Digital Workers page, in the Name Sanctions Screening group, click the required BP variation.

   

2. In the list of available BP definitions, open the Names Screening TR Ongoing Monitoring BP definition.

   

Call NSS REST API

You can invoke NSS by calling the WorkFusion REST API. To do it, set up a skill variation to source data from WorkFusion API.

To configure REST endpoints, perform the following steps:

1. Open the required core BP definition. On the Data tab, select Streaming Records from External Sources and specify your custom signal ID.

   

2. On the Run tab, click the Run This Process button. Once the BP starts, go to the Run tab and click Show API... to find available generated endpoints.

   

For NSS, only asynchronous invocation is supported. In this case, use only the following endpoints:

• /start-record-raw to start a BP.
• /check-record-status to check the status of the running transaction.
• /get-record-result to get the result data of the completed transaction.

additional information

• Running AI Agents via REST API to learn about invoking transactions and getting access to their token.
• Evelyn API to see the detailed description of endpoints.
• Process transactions with REST connector

REST API request

The NSS skill supports the following JSON structure for triggering screening. The structure depends on the selected screening system.

Additionally, a JSON request might include the following elements:

• hits
• configuration

Full alert screening JSON template

{
    "input_id": String (required),
    "input_full_name": String (required),
    "input_aliases": [
      alias1, alias2 ...
    ],
    "input_record_type": String,
    "input_gender": String,
    "input_address": [
        {
            "type": String,
            "country": String,
            "state": String,
            "city": String,
            "address": String
        },
        ...
    ],
    "input_date": [
        {
            "type": String,
            "year": String,
            "month": String,
            "day": String
        },
        ...
    ],
    "hits": [ 
        {
            "hit_id": String (required),
            "hit_matched_name": String (required),
            "hit_aliases": [
              alias1, alias2 ...
            ],
            "hit_record_type": String,
            "hit_gender": String,
            "hit_address": [
                {
                    "type": String,
                    "country": String,
                    "state": String,
                    "city": String,
                    "address": String
                },
                ...
            ],
            "hit_date": [
                {
                    "type": String,
                    "year": String,
                    "month": String,
                    "day": String
                },
                ...
            ]
        }
    ],
    "configuration":
    {
        "mt_assignee": String,
        "mt_title": String,
        "mt_force": String,
        "mt_filter_sla": String,
        ...
    }
}

Dow Jones Risk & Compliance, World-Check One, Thomson Reuters JSON template

The request JSON structure should contain only input elements. If the hits element is present, it is ignored.

{ 
  "input_id": String (required),
    "input_full_name": String (required),
    "input_aliases": [
      alias1, alias2 ...
    ],
    "input_record_type": String,
    "input_gender": String,
    "input_address": [
        {
            "type": String,
            "country": String,
            "state": String,
            "city": String,
            "address": String
        },
        ...
    ],
    "input_date": [
        {
            "type": String,
            "year": String,
            "month": String,
            "day": String
        },
        ...
    ],
    "configuration":
    {
        "mt_assignee": String,
        "mt_title": String,
        "mt_force": String,
        "filter_attribute_1": String,
        ...
    }
}

Firco Trust Case Manager API JSON template

Once the screening with Firco Trust System is initiated, all existing messages are processed via a BP.

Firco Trust business units and units coming from a REST request have a higher priority than the AI Agent configuration.

{ 
  firco_trust_b_unit: String,
  firco_trust_unit: ["unit_1", "unit_2"]
}

REST API response

After a successful run, the BP sends a response. The response JSON structure can be different, depending on the selected screening system.

note

If you enable QC or HTML reports when configuring the AI Agent, the REST response will include hyperlinks to the reports.

Full alert screening JSON template

{
    "input_id": String,
    "alert_resolution": String,
    "alert_explanation": String,
    "html_report_link": String,
    "qc_report_link": String,
    "hits": [ 
        {
            "hit_id": String,
            "hit_resolution": String,
            "hit_explanation": String
        }
    ]
}

Dow Jones Risk & Compliance, World-Check One JSON template

{
    "input_id": String,
    "alert_resolution": String,
    "alert_explanation": String,
    "html_report_link": String,
    "qc_report_link": String,
    "hits": [ 
        {
            "hit_id": String,
            "hit_resolution": String,
            "hit_explanation": String
        }
    ]
}

Firco Trust Case Manager API JSON template

{
    "report_link": []
}

REST API configuration map

You can send a JSON configuration as part of REST requests to override the skill's configuration associated with processing Manual Tasks (MT).

Default parameters

The following parameters, if sent, are processed by the NSS skill to configure manual review assignments:

• mt_assignee sets an assignee for an assignment in Workspace. For details, see Define task assignees.

• mt_priority sets the assignment priority. For details, see Set assignment priority.

• mt_title sets the assignment title. For details, see Adjust assignment title.

• mt_force forces a request to go to the manual review step.

  • If the parameter is set to true, the request goes to the manual review step regardless of the skill's configuration.
  • If set to false, the manual review step is skipped regardless of the skill's configuration.

Additional parameters

In addition to the default ones, you can send any other parameters as part of the configuration map, including to create filter attributes.

Sample request

In the example, mt_filter_sla can be used to create filter attributes.

{
    "input_id": "183800066.6686744",
    "input_full_name": "PINKAL PATEL",
    "input_record_type": "INDIVIDUAL",
    "input_gender": "",
    "input_address":
    [
        {
            "type": "",
            "country": "USA",
            "state": "CT",
            "city": "BERLIN"
        }
    ],
    "input_date":
    [
        {
            "type": "DOB",
            "year": "1976",
            "month": "07",
            "day": "05"
        }
    ],
    "hits":
    [
        {
            "hit_id": "149868084",
            "hit_matched_name": "PINKAL P PATEL",
            "hit_record_type": "INDIVIDUAL",
            "hit_gender": "",
            "hit_address":[],
            "hit_date":[]
        }
    ],
    "configuration":
    {
        "mt_assignee": "aharhots1",
        "mt_title": "PINKAL PATEL - WKSFN2342",
        "mt_force": "true",
        "mt_filter_sla": "01/01/2024"
    }
}

Start Business Process from REST API with CSV file

To start the core NSS BP from REST API with a CSV file, make sure you selected WorkFusion API as the input source when configuring the skill.

Before running the BP, open the required process definition and navigate to the Data tab. Then, click Upload Data and upload a CSV file.

The CSV file must include the two required column headers:

• request_id representing the unique ID used for internal NSS processing.

• rest_request containing the request to be parsed in NSS. It needs to be provided as JSON and must contain all required screening details.

  Sample JSON

  "{
    ""input_id"": ""3"",
    ""input_full_name"": ""Affred Trump"",
    ""input_record_type"": ""person"",
    ""input_gender"": ""male"",
    ""input_address"": [
      {
        ""type"": ""citizenship"",
        ""country"": ""USA"",
        ""state"": ""NY"",
        ""city"": ""New York""
      }
    ],
    ""input_date"": [
      {
        ""type"": ""DOB"",
        ""year"": ""1949"",
        ""month"": ""06"",
        ""day"": ""14""
      }
    ],
    ""hits"": [
      {
        ""hit_id"": ""3_1"",
        ""hit_matched_name"": ""DoNald Trump"",
        ""hit_record_type"": ""INDIVIDUAL"",
        ""hit_gender"": ""male"",
        ""hit_address"": [
          {
            ""type"": ""citizenship"",
            ""country"": ""USA"",
            ""state"": ""NY"",
            ""city"": ""New York""
          }
        ],
        ""hit_date"": [
          {
            ""type"": ""DOB"",
            ""year"": ""1949"",
            ""month"": ""06"",
            ""day"": ""14""
          }
        ]
      }
    ]
  }"

When you use REST API with a CSV file as a request source, the NSS skill generates Quality Check and HTML reports as configured. One report is generated per REST request with all associated hits.

Track NSS API request status

To support REST request tracking, the NSS skill is enhanced with the capability to update a dedicated Data Store when an MT is created, saved, or completed.

Learn about working principle

The new tracking feature works only if you meet the following requirements:

• Selected Workfusion REST API as the input source during the NSS skill configuration.

• Installed and configured all components as described in the Enable status tracking section.

The table below details the structure of the uc_dw_request_status_v1_0 request:

Column	Type	Description
UUID	NVARCHAR(36)
TRANSACTION_ID	NVARCHAR(36)	NSS-created transaction ID
REQUEST_ID	NVARCHAR(255)	External request ID
STATUS	NVARCHAR(255)	Request status: IN_PROGRESS READY_FOR_MT MT_COMPLETED FINISHED ERROR
MESSAGE	NVARCHAR(max)

The NSS skill updates uc_dw_request_status_v1_0 with the current request progress:

1. When an MT is ready for review.

   The current request ID in the Data Store is updated with the READY_FOR_MT status. The message contains a link to the MT corresponding to the current alert.

2. After the MT is resolved.

   The current request ID in the Data Store is updated with the MT_COMPLETED status. The message is empty until record processing is in progress.

3. After NSS processing is finished.

   The current request ID in the Data Store is updated with the FINISHED status. The message is updated with the NSS REST output contract.

Enable status tracking

To leverage the REST request tracking feature for the NSS skill, follow the steps below:

1. Download and install the request status service bundle. After successful installation, the new uc_dw_request_status_v1_0 Data Store becomes available.

2. Create a Secrets Vault entry using the following parameters:

   • Alias: workspace_url
   • Key: URL to Workspace
   • Value: leave empty

   If no Secrets Vault entry is found during NSS processing, the request status contains an error requesting to create a Secrets Vault entry.

3. Add the request status service dependency to the project:

   <dependency>
       <groupId>com.workfusion.dw</groupId>
       <artifactId>request-status-service-core</artifactId>
       <version>${request-status-service.version}</version>
   </dependency>

   request-status-service.version = the latest released dependency version available in Nexus.

4. Add the following code to your Bot Config Bundle (BCB):

   @RequiredArgsConstructor(onConstructor = @__({@Inject}))
   public class PrepareForMTask implements GenericTask {
       
       private final RequestStatusService requestStatusService;
       
       @Override
       public TaskRunnerOutput run() {
           ...
           String message = requestStatusService.getMessageBy("external_id"));
           ...
       }
   }

View and submit assignment in Workspace

note

Before reviewing assignments, make sure you have required Workspace permissions.

Once the NSS skill triggers the human-in-the-loop capability, the respective Manual Task becomes available in Workspace as an assignment in the assignment list.

The assignment page displays the following details:

• Input data

• Hits

• Original model decisions

On the page, click any hit to drill down to its details page, review all information related to the hit, and verify or modify the original model decision and the explanation.

After you review all hits, you can submit the assignment, and its results are fed back to the BP. Upon submission, the reviewer's decision and explanation are also updated in the NSS skill's analytics.

Review screening results

You can review screening results in either of the two ways:

• Review assignments in Workspace if you set up the Human in the Loop step when configuring the skill.

• View the results of the BP execution in the Quality Check or HTML reports.