Requesting a Screening

In Third-Party Screening & Monitoring, you can request various levels of screenings that produce risk assessment reports. Some screenings include online interviews that the requester must complete, and others include interviews that a third party representative must complete.

Request a Screening

Note: A monitored third party cannot be rescreened without terminating the existing monitoring first.

You can request a screening while adding a new third party or for an existing third party:
- If, upon saving a new third party, you opt to request a screening, the Request Screening wizard appears immediately.
- To access the Request Screening wizard for an existing third party, select Third Parties from the navigation menu, select the third party's name, and then click Request Screening from the third party details page.
Tip: If the third party was screened and monitoring was activated, the Request Screening wizard displays a green check to indicate the entity is monitored, and names the monitoring profile used.
On the Select Screening page, choose whether you want to request and complete a form, send a questionnaire to a third party contact, or send a questionnaire to the business sponsor.

Note: For the Business Sponsor option to appear, your organization must have the Business Sponsor Support feature enabled, as well as an existing report that includes a Business Sponsor questionnaire. Contact NAVEX Customer Support by submitting a request in the Community if you wish to make any changes related to the Business Sponsor feature.

Select a Report. Your response to the previous question will determine the available report options.

Report Descriptions

The following are the default standard report types that can be requested. The reports available to you and the actual report content depend on which reports your organization has activated and how those reports have been customized.

Note: Level 2 users might not see the Pacific Strategies & Assessments (PSA) Analyst report option due to permission restrictions.

Report	Description
Preliminary Risk Assessment	For assessing potential financial and compliance risk to determine the next steps in risk assessment. There is no cost associated with this report.
Reputation Screening	For assessing the reputational risk of a third party and the associated additional entities as provided by either the third party or the screening requester. The cost of this report is dependent on the number of additional entities provided. Additional external analyst activity may be included with this report for an additional cost. A version of this report that excludes additional entities is available.
Financial Screening	For assessing the financial risk of a third party using information provided by either the third party or the screening requester.
Reputation & Financial Screening	For assessing the reputational risk of a third party and the associated additional entities and for assessing the financial risk of the third party. Additional entity and financial information is provided by either the third party or the screening requester. The cost of this report is dependent on the number of additional entities provided. Additional external analyst activity may be included with this report for an additional cost.
Reputation, Financial & Compliance Screening	For assessing the reputational risk of a third party and the associated additional entities and for assessing the compliance and financial risk of the third party. Additional entity and financial information is provided by the third party. The cost of this report is dependent on the number of additional entities provided. Additional external analyst activity may be included with this report for an additional cost.
Reputation & Compliance Screening	For assessing the reputational risk of a third party and the associated additional entities and for assessing the compliance risk of the third party. Additional entity and financial and compliance information is provided by the third party. The cost of this report is dependent on the number of additional entities provided. Additional external analyst activity may be included with this report for an additional cost.
PSA Analyst Activity - Organization	For clients who want to order EDD reports only, without an Adverse Media / Sanctions screening component. The cost of this report is driven by type of analyst activity ordered and location of third party.
Environmental and Social Governance	For assessing the risk and impact of a third party against Environment and Social Governance (ESG) issues, such as Human Rights, Climate, and Sustainability risk due diligence.

Note: Reputation Alert reports are not available as a screening request from within the application, but are system-generated based on monitoring alerts received for screened entities.

Answer any additional questions and follow the prompts to provide the required information. Prompts can vary based on selections. Then, click Next.

Note: If you select a report that requires additional information, such as contact information or details about other people or organizations you want included in the screening, be sure to have that information available before continuing with the screening request. You cannot save a partial screening request and return to it at a later time.
Expedited Reports
- For PSA Analyst reports, there is a system default to expedite up to five (5) reports within a 30-day period; otherwise, the option will not be available.
- For Enhanced Due Diligence (EDD) or Open Source Intelligence (OSI) Due Diligence reports only, you can select the Expedite this report? check box to order the reports in an expedited time frame. This option will incur additional charges, which you will be able to verify before submitting the request. See example below:
On the Third Party Validation page, verify the third party information. Then, click Next.
For D&B (Dun & Bradstreet) reports only, a Select a Company option displays in which you have to select a matching D&B company from the list (this step assigns a valid D&B DUNS number to your third party organization). Select the company and then click Next.
From the Additional Entities wizard, you will see one of the following options depending on whether your organization requires entry of any Additional Entities:
- If your organization does not require one or more Additional Entities categories to be entered, the wizard asks if you have any to add.
  
  Click Yes to proceed. Otherwise, click No and skip the steps regarding adding an additional entity.
- If your organization requires one or more Additional Entity categories to be entered, the wizard indicates which categories are required.
  
  Click Continue to proceed.
  
  Note: If you wish to change your organization's configuration for Additional Entities, contact NAVEX Customer Support by submitting a request in the Community.
Add Additional Entities by selecting an entity category or by choosing from the third party's existing entities, if applicable:
Add from Existing Additional Entities
If the third party profile has existing Additional Entities, you can view and select them from the list instead of entering them manually.
1. Click the link below View Existing Entities to view the Additional Entities list.
2. Select from the list of existing entity(s) and then click Next.
  
  Note: Entities already monitored are not available for selection if the report being requested submits the entity data to our Adverse Media / Sanctions partner. However, users can submit Enhanced Due Diligence (EDD) only type reports and select previously captured entities currently being monitored.
Add Additional Entities by Category
Additional entities can be added manually by selecting a category, and then providing the required details.
1. Click Add Additional Entity. In the example below, existing additional entities have been added.
2. Select the Entity Category.
3. From the Additional Entity Entry screen, fill out the information for that specific entity category and then click Save. Below is an example for a Beneficial Owner, for which you must first select a Type of either Person or Organization.
  
  After selecting Person or Organization, fill out the information and then click Save.
  
  Once saved, the Beneficial Owner type (Organization or Person) displays.
4. To add another additional entity, click + Add Additional Entity and repeat the process until all of the entities have been added.
  
  Note: If a maximum number of additional entities is configured for the report type selected, the maximum allowed entities will be noted at the top right. Additionally, once an additional entity has been added, it can be edited or deleted by using the edit () or remove () icon.
Once all the additional entities have been added, click Done.

Note: If your organization requires one or more specific categories (e.g., Beneficial Owner) and one was not entered, an error message will display to indicate the missing information. Add the missing information to proceed.
Complete any other sections of the report. If no other sections are included in the report being completed, you will be taken to the next section of the interview.
On the Submit Request page, select the I agree to the price of [amount] check box, and then click Submit.

Note: Some screening requests incur costs related to research performed by a data provider. If no costs are associated, the price shown will be $0.
Click OK from the Report Status message that displays.

Note: If the report includes a false positive review by a third party analyst, the notification indicates that the report will be finalized once the analysis is complete.