Evidence Pack Templates
Evidence packs make AML decisions auditable. They allow a reviewer to reconstruct what was checked, when, with which sources and why the decision was made.
Screening Evidence StandardField-level standard for searches, no-match results, hits, match IDs and disposition.Case File Evidence LifecycleHow evidence is created, reviewed, escalated, retained and re-used.Digital Footprint EvidenceWebsite, address, phone, branch, domain and hosting indicators.Rule-to-Action EvidenceMap obligation, control ID, workflow and evidence output.
1. Universal evidence template
| Field group | Fields |
|---|---|
| Case metadata | Case ID, analyst, reviewer, date, trigger, business unit and relationship status. |
| Subject scope | Customer, UBO, director, authorised person, bank, counterparty, employee, vendor, goods or service. |
| Identifiers | Names, aliases, DOB, nationality, registration number, SWIFT, address, website, goods code and documents used. |
| Source record | Source class, source used, query, parameters, timestamp, screenshots/PDFs and source limitations. |
| Result and disposition | No match, potential match, false positive, relevant match, confirmed match, rationale and escalation status. |
| Decision trail | Risk impact, decision, approver, conditions, next review date and retention location. |
2. Pack types
Use dedicated packs for pre-approval screening, onboarding CDD, periodic review, event-driven review, adverse media, sanctions/PEP hit review, counterparty/vendor screening, employee screening and sanctions/trade-control review.
3. Evidence quality rule
The evidence pack should preserve both what supports the decision and what limits confidence. Missing identifiers, inaccessible databases, ambiguous matches, low-quality search results and jurisdictional uncertainty must remain visible.