Corporate Batch Scan

Batch Scan¶

Compliance Officers, Advanced Users, Standard Users and Data Entry Operators can run scans on behalf of the organisation they are assigned to.

Billing Officers and Auditors are not able to run any scans.

Corporate Scan - Batch Scan allows you to scan uploaded batch files of company data against the lists and Watchlists to which your organisation has access.

Compliance Officers and Advanced Users can review which watchlists are being scanned against in Administration > Organisation > List Access tab.

Scanning matches Company Name against the Watchlists. ID Number matching is also performed for Exact Match scans, if the matching watchlist entity record contains an ID Number.

The scan options are either stated, if set at organisation level, or presented as radio button options, if set as User Defined.

If you are assigned to multiple organisations, select the Organisation you are scanning on behalf of from the drop down list. You can scan on behalf of only one organisation at a time.

If your organisation and user account has been enabled for ongoing monitoring, you may see the additional option or text for adding your batch scan to the Monitoring List. Examples of options you may see:

Only entities with an Entity Number in the batch file uploaded for scanning can be included for monitoring in the Monitoring List. Entities without Entity Numbers will be scanned but will not be added to the Monitoring List.

Setting the default for scans to be added for monitoring

The Compliance Officer can set the default Monitoring List selection within the Administration > Organisation > Monitoring Settings.

Entity Number¶

Entity Number (or Client Reference or Account Number) is an alphanumeric field of up to 100 characters and is the organisation’s unique number or identifier used to identify the corporate entity being scanned.

Including Entity Number in corporate scans is optional, however, it is required if you wish to record due diligence decisions for matched entities or be able to add them for ongoing monitoring.

Match Type¶

Used to determine how closely a watchlist corporate entity must match a company before being considered a match.

If options are displayed for Match Type, select the appropriate radio button. If no options are available, the default match type predetermined by your organisation’s Compliance Officer are displayed.

Option Description

Exact

The Scan Results show matches where the Company Name matches exactly.

Example:

A search for the following will identify matches with Hunter Financial Group Ltd:
- Hunter Financial Group Ltd,
- Hunter Financial Group Inc,
- Hunter Financial Group Corp, or
- Hunter Financial Group.
A search for names such as Hunter Financial, Hunter & Co, Hunter Corp will not produce matches.

Close

The scan returns matches where the Company Name is contained in the watchlist company name field.

Example:

A search for Hunter Pty Ltd will identify ~19 matches with companies that contain Hunter in their name.
A search for Hunter & Co, Hunter Corp will identify ~19 matches with companies that contain Hunter in their name.
A search for Hunter Financial will identify ~2 matches with companies that contain Hunter Financial in their name.

Note: If a Close Match scan results in a large number of matches, the matches displayed will be limited to the first 200 matches.

Whitelist Policy¶

Used for eliminating match results previously determined to not be a true match.

If options are displayed for Whitelist Policy, select the appropriate radio button. If no options are available, the default Whitelist Policy predetermined by your organisation’s Compliance Officer is displayed :

Option	Description
`Apply`	Watchlist matches for a specific company (Entity Number), previously classified as `No Match` will be excluded from the scan results.
`Ignore`	All matching names are displayed

Entity Number required for Whitelist Policy

The Whitelist Policy can only be used in conjunction with the Entity Number.

Where the Apply option is selected, the scan result will only show results where the due diligence Decision is Not Reviewed, Match or Not Sure.

Where the Ignore option is selected, the scan result will show all results regardless of their due diligence Decision.

Corporate Batch Files¶

The Batch Scan function allows you to upload and scan batch files.

Batch files must be in one of the following file formats. Other file types are not supported and cannot be uploaded:

Comma delimited CSV file
XML file
ZIP file of a CSV or XML file

If the batch files are very large they can be compressed using ZIP compression prior to uploading. It is estimated that the size of CSV files will be approximately 1 Megabyte for every 10,000 user records and depending upon the number of entities to be scanned, this has the potential to create large files. As batch files are uploaded through the MemberCheck system over the Internet, the time taken to upload files will be dependent upon the size of the file and Internet connection speeds.

Using ZIP files can result in a significant reduction in the size of a batch file and this can result in a significant reduction in the upload time. The compression of batch files prior to uploading should be taken into consideration, especially when using XML batch files, as XML files may be up to three (3) times larger than equivalent CSV files.

Upload Batch File¶

Ensure you have the correct Organisation selected before uploading the batch file.

Click the Browse… button to locate and select the batch file you want to upload.
Large files may take some time to upload, during which time a Loading, please wait message is displayed.
If you have uploaded the wrong batch file
If you have uploaded the wrong file or decide not to scan the uploaded file, click the Remove button to delete the uploaded file. Click OK in the Windows dialog to confirm that you want to remove the file and then click Browse… again to select an alternative file to upload.
Once you have uploaded a batch file, Selected File will display the filename of the batch file.
Click the Scan button to start the scan.
Note
No file validation is performed prior to the selection of the Scan button.
The scan will be performed against the lists and Watchlists selected by the organisation’s Compliance Officer in Organisation > List Access.
Small sized batch files will be scanned immediately. Larger batch files will be scheduled to run in the background.
Progress is displayed to indicate if the scan has been scheduled for running later or is running immediately. It gives you the option of New Batch Scan should you choose to perform another batch scan. You do not need to wait for the completion of the current batch scan before running another or navigating to other areas of the service.
The progress bar indicates that scanning of the batch file has commenced and its percentage of completion. You can schedule another batch scan to run by clicking the New Batch Scan button.
Once the scan is complete, a Batch file has been scanned successfully message is displayed.
Click the View Result button to immediately view the Batch Scan Result Exception Report, or click the New Batch Scan button to start another batch scan.
The Batch Scan Results can also be viewed in the Batch Scan History.
If the batch scan fails for any reason, a message is displayed to help you locate and correct the records that are causing the error. The message indicates how many invalid records were found and their corresponding row numbers. A summary of the type of errors found are displayed to assist with troubleshooting. Notification of the error is sent to the email address of the person performing the batch scan.
An email summary of the scan results and a link to the Batch Scan Result page is sent to the Compliance Officer, or the alternative Organisation Email address specified by the Compliance Officer.
Compliance Officers can edit the Organisation Email address in Administration > Organisation > Organisation Details
Advanced Users can view the Organisation Email.

CSV File Format for Corporate Batches¶

A CSV (comma separated values) file is a text file with a specific format and specific order of data, which stores the details of the corporate entities that you are going to scan.

Each line of the file represents a record (details of one company)
Records contain five (5) fields, separated by commas without spaces in between
The order of the fields are important
Headings should not be included in the CSV
Company details containing commas (e.g. company names and addresses) should be enclosed with double quotes.

Member and Corporate Batch files have different formatting

The file formats for Member and Corporate batch files are different.

The format of each entity record in a batch file should be as follows:

Org ID,Entity Number,"Company Name",Company Identification Number,"Address"

The order of the fields in the CSV file are as follows:

Order	Field	Required	Remarks
1	OrgID	Mandatory
2	EntityNumber	Optional	This is Required for due diligence decisions.
3	CompanyName	Mandatory
4	IDNumber	Optional
5	Address	Optional

Details containing commas
Where a Company Name or an Address field contains commas (,), the entire field should be enclosed in double quotes (") so that the commas are not read as individual fields.

Viewing CSV files

CSV files can be created, viewed and edited using a text editor (e.g. Notepad or Notepad++ for Windows, TextEdit or Atom for Mac) or a spreadsheet application (e.g. Microsoft Excel).

Use a text editor for double checking or troubleshooting

Viewing the CSV file in a plain text editer provides greater visibility to double check for whitespaces and superfluous characters that may cause the CSV format to be invalid.

Batch file format validation

The batch file upload process will reject the file if any records do not strictly meet the required format. Any batch file with incorrect formatting or containing invalid data will be rejected and the batch scan will show an error and a status of Error will be displayed against the scan in the Batch Scan History.

The formatting of the fields in the CSV file are as follows:

Field	Description	Min - Max Length	Required	Characters Supported
OrgID	A unique organisation identifier issued by the scanning organisation's compliance officer	1 - 20	Mandatory	Alphanumeric
EntityNumber	The company reference/account ID of the corporate entity to be scanned. Optional but needs to be entered for recording due diligence decisions, reporting and reconciliation	0 - 100	Optional	Alphanumeric
CompanyName	The company’s legal name	3 - 255	Mandatory	Alphanumeric
IDNumber	The company’s Identification (Registration) Number, e.g. ABN, ACN, NZBN, CRN, RN.	0 - 100	Optional	Alphanumeric
Address	The company’s address with no restrictions imposed on the format	0 - 255	Optional	Alphanumeric

The format of the CSV file (either ANSI or UTF-8 encoded) should be a comma delimited list where a single line contains an individual corporate entity:

Format
Standard (ANSI or UTF-8 encoded) `OrgID,Entity Number,"Company Name",Company Identification Number,"Address"`

The Address field is a free format field and can consist of Unit No, Street No, Street Name, Street Type, Suburb/City, State/Region, Postcode/Zipcode, and Country. Address is not used for matching but assists when comparing scanned entities and matched profiles.

CSV File Examples¶

Examples:

Examples

Minimim requirements (OrgID and CompanyName) (ANSI or UTF-8 encoded)

ORG080602,,Microsoft Australia,,

ORG080602,,"Alpha, Bravo & Charlie Pty Ltd",,

Additional Entity Number for due diligence (ANSI or UTF-8 encoded)

ORG080602,,Microsoft Australia,BN98104995,

ORG080602,,"Alpha, Bravo & Charlie Pte Ltd",007 555 787,

Full details including Address (ANSI or UTF-8 encoded)

ORG080602,COR000443,Microsoft Australia,BN98104995,"North Ryde, NSW, Australia"

ORG080602,COR000444,"Alpha, Bravo & Charlie Pte Ltd",007 555 787,"1 Technology Drive, Mascot NSW"

XML File Format for Corporate Batches¶

The batch XML file can be validated against the following DTD.

<?xml version="1.0" encoding="UTF-8"?>
   <!ELEMENT InputList (Company+)>
   <!ELEMENT Company (OrgID, EmployerNumber?, CompanyName, IDNumber?, Address?)>
   <!ELEMENT OrgID (#PCDATA)>
   <!ELEMENT EmployerNumber (#PCDATA)>
   <!ELEMENT CompanyName (#PCDATA)>
   <!ELEMENT IDNumber (#PCDATA)>
   <!ELEMENT Address (#PCDATA)>

The format of the XML file should be similar to the following example.

<?xml version="1.0" encoding="utf-8" ?> 
   <InputList> 
     <Company> 
       <OrgID>ORG080206</OrgID> 
       <EmployerNumber>EMP2713</EmployerNumber> 
       <CompanyName>AUS Technology Pty Ltd</CompanyName> 
       <IDNumber>398434</IDNumber> 
       <Address>Unit 31, 143 George St, Sydney, NSW, 2001, Australia</Address> 
     </Company>
   </InputList>