Batch File Templates and Samples¶

Templates¶

Batch scans for Individuals and Corporates are separate due to their different schema and contents.

The templates and sample batch files have been provided to assist you in preparing your batch files, and you will need to make some minor adjustments to appropriate the files for your organisation.

Description	Download Template
Batch file template for Individuals	CSV	XML
Batch file template for Corporates	CSV	XML
All batch file templates (Individuals and Corporates)	ZIP

Sample Batch Files¶

For a quick start, you can download the sample CSV and XML batch files which contain sample text and preset fields.

Before running the sample batch file you will need to ...

Please replace the generic Org ID DEMOORG in the sample batch with the Org ID assigned to you during enrolment.

To ensure the file formatting and encoding is retained, we recommend editing these sample files via a text editor rather than Excel or Numbers as these applications can change the formatting and structure of the CSV files.

Individual Sample Batch Files¶

Minimum requirements for due diligence or monitoring:

Type of Data Required

Download Sample

Org ID
Client ID
First Name and Last Name
Original Script Name
Full Name

You must include either First Name and Last Name, or Original Script Name or Full Name. If you are not able to separate the First and Last Names, you can enter the individual's Full Name into the Original Script Name or Full Name field.

CSV

XML

Minimum requirements (no due diligence or monitoring):

Type of Data Required

Download Sample

Org ID
First Name and Last Name
Original Script Name
Full Name

You must include either First Name and Last Name, or Original Script Name or Full Name. If you are not able to separate the First and Last Names, you can enter the individual's Full Name into the Original Script Name or Full Name field.

CSV

XML

Additional member details with Gender, Original Script Names/Full Name and ID Number:

Type of Data Required

Download Sample

Org ID
Client ID
First Name and Last Name
Date of Birth
Address
Gender
Script Name or Full Name
ID Number

You must include either First Name and Last Name, or Original Script Name or Full Name. If you are not able to separate the First and Last Names, you can enter the individual's Full Name into the Original Script Name or Full Name field.

CSV

XML

Full member details with multiple Countries of Residence and Nationalities:

Type of Data Required

Download Sample

Org ID
Client ID
First Name and Last Name
Date of Birth
Address
Gender
Script Name or Full Name
ID Number
Country of Residence (up to 5)
Nationality (up to 5)

You must include either First Name and Last Name, or Original Script Name or Full Name. If you are not able to separate the First and Last Names, you can enter the individual's Full Name into the Original Script Name or Full Name field.

CSV

XML

Original Script Search or Full Name not enabled for your organisation

If your organisation does not have the Original Script Search/Full Name setting activated, the Original Script Name/Full Name field should not be included from your batch files.

Full member details with Gender and ID Number (excluding Original Script Name/Full Name):

Type of Data Required	Download Sample
Org ID Client ID First Name and Last Name Date of Birth Address Gender ID Number	CSV	XML

Original Script Search/Full Name setting

To check if your organisation has this setting enabled, check out this FAQ or get in contact with your Compliance Officer.

Corporate Sample Batch Files¶

Minimum requirements for due diligence and monitoring:

Type of Data Required	Download Sample
Org ID Client ID Company Name	CSV	XML

Minimum requirements (no due diligence or monitoring):

Type of Data Required	Download Sample
Org ID Company Name	CSV	XML

Full company details:

Type of Data Required	Download Sample
Org ID Client ID Company Name Registration Number Address/Country	CSV	XML

Company details with multiple operating locations:

Type of Data Required	Download Sample
Org ID Client ID Company Name Registration Number Address/Country Countries	CSV	XML

CSV Batch Files Explained¶

A CSV (comma separated values) file is a text file containing records and fields delimited with commas. You can create a CSV file containing multiple records where each line records represents a profile. The CSV file follows a specific format and specific order of fields.

Each line of the file represents a record (details of one individual or entity)
Each line of the profile starts with your assigned Organisation ID. This information is available in your account enrolment email or within the Organisation Details if you have appropriate access.
Headings are optional in the CSV. If included, the first line must start with OrgId to be recognised.
Each line is terminated with a carriage return and line feed, CRLF or \r\n.
The sequence order of the fields are important as they will be processed as specific types of information
Details containing commas (e.g. addresses, company names etc.) should be enclosed with double quotes (")
Special symbols should be replaced by HTML characters e.g. & should be written as &
Each line is separated or delimited by commas without spaces in between fields. The commas are necessary to differentiate the sequence of fields. Do not remove the commas even if fields are empty
Batch files containing original script, umlauts or diacritics should be saved in UTF-8 encoding to preserve the information.

Batch files for Individuals and Corporates are separate and different due to their different structure and contents.

Individuals¶

Based on your organisation settings, the requirements for the minimum information required to be included in the batch file may differ.

Additional information may be required as a minimum for the batch file to be processed if for example:

Date of Birth is required if Ignore Blank DOB is enabled
Client ID is required if Ongoing Monitoring is enabled

If your organisation has Default Country specified and Apply Blank Address enabled, leaving the Address field blank will default to the specified country.

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

Field	Order	Required	Character Limit	Remarks
OrgID	1	Mandatory	20	The OrgID associated with the organisation or suborganisation you are scanning against. This is assigned to your organisation during enrolment. If unsure, please contact your organisation's Compliance Officer.
ClientID	2	Conditional	100	Unique identifier for the individual such as Customer Reference Number. This is required for due diligence decisions and for ongoing monitoring.
FirstName	3	Mandatory	255	First name or Given name of the individual. This field is required unless you are entering an Original Script Name or Full Name. If the person has a single mononymous name, enter a dash (`-`) in this field and the mononymous name into LastName.
MiddleName	4	Optional	255	If the individual has multiple middle names, enter all middle names separated by spaces.
LastName	5	Mandatory	255	Last Name or Surname or Family Name of the individual. If the individual has a single mononymous name, enter the name in this field.
DateofBirth	6	Conditional	10	This is Required if Ignore Blank DOB is enabled for the organisation by the Compliance Officer. Supported formats: `DD/MM/YYYY` or `YYYY`
Address	7	Optional	255	You may enter the full address enclosed in double quotes, or just the Country. Only the Country in the address field will be used for matching.
Gender	8	Optional	20	The application will recognise: `Female`, `F`, `Male`, or `M`.
OriginalScriptName	9	Optional	255	Non-Latin-based original script name such as Cyrillic, Hebrew, Chinese, Korean, Arabic etc, or Latin-based full name if unable to identify and separate by First and Last Names.
IDNumber	10	Optional	100	Identifier for the individual such as Passport Number, National ID, VAT/Tax Number, Professional Registration Number.
Country	11	Optional	15	ISO 3166-1 alpha-2 code equivalent for the country of residence. Use semicolon (`;`) to separate values. Supports up to 5 countries.
Nationality	12	Optional	15	ISO 3166-1 alpha-2 country code equivalent for the individual's nationality or citizenship. Use semicolon (`;`) to separate values. Supports up to 5 countries.

An example of a CSV batch file viewed in a spreadsheet e.g. MS Excel

An example of a CSV batch file viewed in a text editor e.g. Atom. Some advanced text editors can provide greater insight to the structure and encoding of a CSV file compared to Excel spreadsheet.

The key elements of the CSV batch file:

Corporates¶

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

Field	Order	Required	Character Limit	Remarks
OrgID	1	Mandatory	20	The OrgID associated with the organisation or suborganisation you are scanning against. This is assigned to your organisation during enrolment. If unsure, please contact your organisation's Compliance Officer.
ClientID	2	Optional		Unique identifier for the company such as Company Reference Number or Account Number. This is Required for due diligence decisions.
CompanyName	3	Mandatory	255	Name of company.
RegistrationNumber	4	Optional	100	Company's registration number such as ABN, ACN, NZBN, CRN, RN or equivalent.
Address	5	Optional	255	The company's country of operation or registration. Enter the ISO 3166-1 2-letter country code, or the country name. You can also enter the full address (there are no restrictions imposed on the address format). Only the country component will be used for comparing country of operation or registration when the Country of Operation policy is applied during scanning.
Country	16	Optional	15	ISO 3166-1 alpha-2 code equivalent for the country of operation. Use semicolon (`;`) to separate values. Supports up to 5 countries.

An example of a CSV viewed in a spreadsheet e.g. MS Excel

An example of a CSV batch file viewed in a text editor e.g. Pulsar. Some advanced text editors can provide greater insight to the structure and encoding of a CSV file compared to Excel spreadsheet.

The key elements of the CSV batch file:

'Null' names or strings

Due to a technicality in the processing of CSV files within the system, the string "NULL" (N-U-L-L) should be avoided as this will be ignored by the system. To enter this as a name or string text, use "Null" or "null" (N-u-l-l or n-u-l-l) to avoid all uppercase.

XML Batch Files Explained¶

Individuals¶

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

<?xml version="1.0" encoding="UTF-8"?>
<!ELEMENT InputList (Person+)><!ELEMENT Person (OrgID, MemberNumber?, ClientID?, FirstName, MiddleName?, Surname, DOB?, Address?, Gender?, ScriptNameFullName?, IDNumber?)>
<!ELEMENT OrgID (#PCDATA)>
<!ELEMENT MemberNumber (#PCDATA)> <!-- superseded by ClientID -->
<!ELEMENT ClientID (#PCDATA)>
<!ELEMENT FirstName (#PCDATA)>
<!ELEMENT MiddleName (#PCDATA)>
<!ELEMENT Surname (#PCDATA)>
<!ELEMENT DOB (#PCDATA)>
<!ELEMENT Address (#PCDATA)>
<!ELEMENT Gender (#PCDATA)>
<!ELEMENT OriginalName (#PCDATA)> <!-- (if Original Script Search is enabled) -->
<!ELEMENT ScriptNameFullName (#PCDATA)> <!-- (if Original Script Search is enabled) -->
<!ELEMENT IDNumber (#PCDATA)>
<!ELEMENT Country (#PCDATA)>
<!ELEMENT Nationality (#PCDATA)>

The format of the XML file may be similar to the following example where we have the full address in Address:

<?xml version="1.0" encoding="utf-8" ?> 
<InputList> 
    <Person>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-100</ClientID>
        <FirstName>John</FirstName>
        <MiddleName>Andrew</MiddleName>
        <Surname>SMITH</Surname>
        <DOB>13/05/1968</DOB>
        <Address>1 Short Street, Sydney, 2000 NSW, Australia</Address>
        <Gender>Male</Gender>
        <ScriptNameFullName></ScriptNameFullName>
        <IDNumber>M1234567</IDNumber>
    </Person>
</InputList>

This can be simplified using the ISO 3166-1 2-letter country code in Address:

<?xml version="1.0" encoding="utf-8" ?> 
<InputList> 
    <Person>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-100</ClientID>
        <FirstName>John</FirstName>
        <MiddleName>Andrew</MiddleName>
        <Surname>SMITH</Surname>
        <DOB>13/05/1968</DOB>
        <Address>AU</Address>
        <Gender>Male</Gender>
        <ScriptNameFullName></ScriptNameFullName>
        <IDNumber>M1234567</IDNumber>
    </Person>
</InputList>

For dual citizenship:

<?xml version="1.0" encoding="utf-8" ?> 
<InputList> 
    <Person>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-100</ClientID>
        <FirstName>John</FirstName>
        <MiddleName>Andrew</MiddleName>
        <Surname>SMITH</Surname>
        <DOB>13/05/1968</DOB>
        <Address>AU</Address>
        <Gender>Male</Gender>
        <ScriptNameFullName></ScriptNameFullName>
        <IDNumber>M1234567</IDNumber>
        <Nationality>AU;GB</Nationality>
    </Person>
</InputList>

For multiple country of residences:

<?xml version="1.0" encoding="utf-8" ?> 
<InputList> 
    <Person>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-100</ClientID>
        <FirstName>John</FirstName>
        <MiddleName>Andrew</MiddleName>
        <Surname>SMITH</Surname>
        <DOB>13/05/1968</DOB>
        <Address>AU</Address>
        <Gender>Male</Gender>
        <ScriptNameFullName></ScriptNameFullName>
        <IDNumber>M1234567</IDNumber>
        <Country>CA;US;FR</Country>
    </Person>
</InputList>

Corporates¶

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?, ClientID?, CompanyName, IDNumber?, RegistrationNumber?, Address?)>
   <!ELEMENT OrgID (#PCDATA)>
   <!ELEMENT EmployerNumber (#PCDATA)> <!-- superseded by ClientId -->
   <!ELEMENT ClientID (#PCDATA)>
   <!ELEMENT CompanyName (#PCDATA)>
   <!ELEMENT IDNumber (#PCDATA)> <!-- superseded by RegistrationNumber -->
   <!ELEMENT RegistrationNumber (#PCDATA)>
   <!ELEMENT Address (#PCDATA)>
   <!ELEMENT Country (#PCDATA)>

The format of the XML file may be similar to the following example where we have the full address in Address:

<?xml version="1.0" encoding="utf-8" ?> 
   <InputList> 
    <Company>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-C-100</ClientID>
        <CompanyName>ABC Corporation</CompanyName>
        <RegistrationNumber>12 345 678 012</RegistrationNumber>
        <Address>One Alphabet Way, Sydney, 2000, NSW, Australia</Address>
    </Company>
   </InputList>

This can be simplified using the ISO 3166-1 2-letter country code in Address, and the spaces removed from the ABN in RegistrationNumber:

<?xml version="1.0" encoding="utf-8" ?> 
   <InputList> 
    <Company>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-C-100</ClientID>
        <CompanyName>ABC Corporation</CompanyName>
        <RegistrationNumber>12345678012</RegistrationNumber>
        <Address>AU</Address>
    </Company>
   </InputList>

Example with multiple countries of operation:

<?xml version="1.0" encoding="utf-8" ?> 
   <InputList> 
    <Company>
        <OrgID>DEMOORG</OrgID>
        <ClientID>DEMOID-C-100</ClientID>
        <CompanyName>ABC Corporation</CompanyName>
        <RegistrationNumber>12345678012</RegistrationNumber>
        <Country>AU;JP;US</Country>
    </Company>
   </InputList>

Common Questions¶

Batch file not able to be processed

If a batch file is not able to be processed, please check if the following are applicable to your batch file Encoding and formatting:

The file has UTF-8 encoding
Line breaks for each record is separated by carriage return and line feed e.g. CRLF or \r\n
Ampersands should be replaced with HTML format e.g. &
The OrgID in the profile records refers to your own organisation. The header should not be changed.

Should I use Excel or a text editor to view a batch file?

Both options provide different advantages and can be used to complement each other.

Viewing the CSV batch file via a spreadsheet such as MS Excel will provide a quick overview of the contents of the CSV file and if contents are listed under the correct fields or columns. However, it does not provide detailed information on the encoding, or type of line breaks used in the file, or if there are correct number of specified fields in a row. Additionally, Excel may have some limitations on the size of the contents of a cell.

An advanced text editor e.g. Atom, Notepad++, Sublime Text, to name a few, provides detailed insights to the encoding and structure of the CSV file, the explicit number of fields per row, and the ability to control and change the encoding of the file and line breaks. However, it may be a bit more challenging to obtain an overview of the contents compared to a spreadsheet.

Therefore, it is not unusual to use Excel for an initial review of the contents of the batch file. If troubleshooting is required, the use of advanced text editors can be used for more detailed investigation into the batch file.