A US screening workflow for Shopify

A useful screening routine gives an order a clear checkpoint before fulfillment. It connects the details checked, the result, the person reviewing any concern and the reason for the decision.

The steps below are a starting point for discussing your store’s process with an appropriate adviser. Your obligations depend on your business and the transaction.

Define the checks your business needs

Start by identifying the rules, parties, goods and destinations relevant to your business. OFAC’s jurisdiction guidance explains that US persons must comply with OFAC sanctions and that some prohibitions also reach non-US persons. A store’s shipping country alone does not settle that question.

OFAC’s compliance framework recommends a risk-based program supported by management, assessment, controls, testing and training. Translate that into a store procedure: who reviews an order, what information they need, and when to ask for specialist help.

Choose the order checkpoints

Identify when reliable party details become available and when they can change. Define how the team checks the current screening result before shipping, and what it does if a result is incomplete.

RuleNorth screens after a Shopify order arrives and again when important billing or shipping details change. It uses names, companies, addresses and countries from those two order sections. Coverage describes that subset and the supported US source roster.

Review a possible match with its evidence

Read the source record and compare it with the available order details. A similar name is a reason to investigate. Consider the supporting details, differences and information still missing.

OFAC’s name-match guidance recommends identifying the relevant list and assessing the complete entry against the facts available to your business. Additional information may be needed to resolve the match.

In RuleNorth, Requires review can mean a possible match or insufficient identity information. Pending means a current valid result is still needed. Neither status should be treated as a finished no-match check. Help & FAQs explains the four statuses.

Bring unresolved questions to the right person

Some questions reach beyond a screening record. OFAC’s 50 Percent Rule can affect an entity through ownership by blocked persons even when it has no separate list entry. An order’s name and address cannot establish a complete ownership chain.

Goods, end use, intermediaries and licence requirements can also need further review. The BIS Export Compliance Toolkit provides resources for this work. Your store procedure should identify who can resolve these questions before the team proceeds.

Record the decision and handle the order

Preserve the evidence considered, the decision, the reason, the reviewer and the time. OFAC’s name-match guidance discusses records and any required next steps after a valid match. Use the applicable rules and advice to determine the action, including any reporting obligations.

RuleNorth records one whole-order decision for the current review: Proceed or Do not proceed. Completed means the review decision has been recorded. Your team separately handles the order in Shopify, including any hold, cancellation or fulfillment. A screening decision does not automatically perform these actions.

Keep the routine useful as orders change

Review the process with the people using it. Include examples with common names, incomplete addresses, a changed recipient, an interrupted check and a completed review. Check that staff can find the current result and understand what to do next.

Testing and training are part of OFAC’s compliance framework. The appropriate frequency and records depend on your program. Software supports that process; your team remains responsible for the wider transaction decision.

See how RuleNorth works for a concrete order example, or read How matching works for the product’s approach to names and supporting evidence.