Guide collection
Sanctions case management guides: alerts, evidence, and decisions
Investigate potential matches, manage alerts, record evidence, and test sanctions review procedures with templates and practical decision checklists.
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Choose the question you need to answer
A candidate returned by screening is the beginning of an identity investigation, not its conclusion. Use these guides to compare evidence, assign the next action, record a reasoned decision, and preserve the separate business disposition. An unresolved case should remain visibly unresolved.
Begin with the case-management overview and the existing false-positive checklist. Then use the documentation, alert-management, and audit-trail guides to make the process reconstructable. Testing and threshold guides help distinguish a quieter queue from an actually better-controlled screening process.
Understand the scope and the first decision
AML case management vs sanctions case management. Learn how sanctions identity investigations differ from broader AML cases, and how to connect findings without losing evidence, access controls, or decision scope.
What is sanctions case management? From alert to decision. Learn how sanctions case management connects possible matches, analyst evidence, comments, independent review, decisions, and later monitoring changes.
How to document a sanctions screening decision. Use an evidence-led sanctions review note with source references, identity comparisons, unresolved facts, reviewer approval, and a separate business disposition.
Sanctions alert management: triage, ownership, and resolution. Organize sanctions alerts by evidence and operational status, with clear assignment, escalation, incomplete-check handling, and monitoring follow-up.
How to investigate a sanctions screening alert. Investigate a sanctions candidate with source provenance, comparable identity evidence, careful cross-list review, documented gaps, and an authorized handoff.
Build the review and operating process
Sanctions screening audit trail: what the record should show. Build a sanctions screening audit trail that preserves original results, source versions, analyst reasoning, approvals, changes, and usable evidence references.
Sanctions screening policy: scope, review, and monitoring checklist. Define a sanctions screening policy with named sources, input standards, review authority, exceptions, monitoring triggers, evidence, and control testing.
How to test sanctions screening: coverage, matching, and workflow. Test sanctions screening with synthetic fixtures, expected candidates, source-failure cases, review handoffs, monitoring recovery, and evidence reconstruction.
Sanctions screening thresholds: reduce noise without hiding misses. Evaluate sanctions matching thresholds with labeled tests, source context, name variants, and explicit review policies instead of treating scores as probabilities.
Sanctions screening false negatives: where missed matches arise. Understand missed sanctions candidates across identity inputs, coverage, source freshness, matching, and workflow failures, with practical tests for each layer.
Keep the related controls connected
Sanctions screening false positives: a review checklist. Review sanctions screening alerts with a practical identity checklist, synthetic examples, decision notes, and official OFAC guidance.
Sanctions name matching: aliases, fuzzy matches, and review. Understand fuzzy sanctions name matching, aliases, supported multilingual spelling variants, and useful missing facts for investigating potential matches.
Partial birth dates and source dates in sanctions screening. Compare partial birth dates without inventing precision, distinguish source timestamps, and record date uncertainty with synthetic examples.
What happens if you get an OFAC match? A review workflow. Learn how to investigate a possible OFAC match, preserve identifying evidence, escalate unresolved cases, and separate identity from legal disposition.
Use the guide as part of a defined procedure
These pages explain workflows and product boundaries. They do not establish whether a specific person is a listed identity, replace current official guidance, or decide whether a transaction is authorized. Keep the source comparison, remaining uncertainty, required review, and separate business action in the record.
For product behavior, use the published documentation and current source coverage. For a customer or vendor workflow, start with the actual legal party and preserve the evidence behind the decision.