Exclusion Monitoring

The Exclusion Monitoring Module is currently only available on specific subscription tiers. Please contact your Customer Success Manager (CSM) to discuss upgrade options.

Exclusion Monitoring

Overview

Exclusion monitoring helps ensure that an organization complies with applicable regulations by identifying individuals or entities who appear on a federal, state, or international exclusion list. The Exclusion Monitoring tool in the Guard checks both individuals and entities in real-time and allows for ongoing review and investigation of any potential matches. 

** Important Note **. Prior to enabling exclusion monitoring we recommend reviewing the Exclusion Monitoring- People article for details on necessary information to input for success receiving high confidence matches through the tool.

TABLE OF CONTENTS

• Exclusion Monitoring
• Overview
• Enabling Exclusion Monitoring
  • Reviewing and Monitoring Match Results
  • Adding Investigation Tasks:
  • Exporting Reports

Enabling Exclusion Monitoring

To enable exclusion monitoring for employees and/or vendors, follow these steps:

• Locate the Admin Module on the left-hand navigation panel.
• In the Admin settings, find and select the Exclusion Monitoring option.
• Within Exclusion Monitoring,  there is the option to turn on the monitoring toggles for both People and Vendors 

Once enabled, the tool will automatically run exclusion checks on individuals and entities listed in the People and Vendor modules. It will provide real-time results for any potential matches.

A list of results that show the individuals or entities identified as potential matches on exclusion lists can be accessed through the Exclusion Monitoring module.

This module provides access to view results and history for Matches, Past Matches, and Ad Hoc Searches.

It will also provide the total number of Matches, Unique Matches, Scanned Matches, the overall Match Status progress and highlight the Lists with the Most Matches.

Reviewing and Monitoring Match Results

Under the Matches tab the display will show the match Confidence, Name/Entity, the List where the match found, the Status of your review, number of investigation tasks assigned and the Number of Days Matched.

Filters can be applied to search results to show specific results based on lists, status of review and match confidence percentages.

Click on any individual or entity listed as a potential match to view the match details. The match details provide information to assist with determining if the record matches with the individual or entity you are monitoring and helps you analyze the match and take actions to investigate and make that determination.

• The probability of the match found displayed at the top of the page indicates the likelihood of the individual or entity being a match on an exclusion list. The status of review is also displayed, along with the option to modify the status.
• The Search Data displayed will show the details of the individual or entity who was a potential match and the total number of Active Matches. The display will also include Exclusions Information and the name and contact information of the Reporting Agency.

Adding Investigation Tasks

• During the review process, just below the Search Data section , there is an option to add investigation tasks to document the steps taken to verify or clear the results and track the review process.
• After selecting + New Task there will be options to select the Task Type, add a note to provide details on the task, choose a task assignee, enter the status of the task and upload any relevant evidence for the task.

Match Status:

The status of the review can be updated to reflect when the match is Under Review and then changed to Cleared or Confirmed when the review is complete.

Once the status change is saved, the individual or entity is moved to cleared, the history of the match will be stored under the Past Matches tab.  ** Important Note **  Past match records are automatically excluded from future search results during the ongoing monitoring performed by the exclusion tool.

A cleared Past Match can be selected to be reviewed and changed back to Under Review or Confirmed if needed.

When the Confirmed status is selected, the name of the individual or entity and the exclusion check information will be displayed, along with an optional field to include the reason for confirmation and a selection box to certify the accuracy of the information provided.

Once the status change is saved the match and their confirmed status will then display under the Past Matches tab. A confirmed match can be accessed to review/edit the history and details or to update their status to Under Review or Cleared if needed.

Exporting Reports

To download a Summary or Detailed report as a CSV from the Exclusion Monitoring module, select the Export option in the upper right corner and choose the desired report.

Related Articles:

Exclusion Monitoring - People

Exclusion Monitoring - Ad Hoc Searches