Case Management

Core Concepts

Case Management uses a three-tier hierarchy to organize review work:

Concept	Description
Case	The top-level review container, bound to a single profile (individual or organisation). One Case per profile — if new screening hits arrive for the same profile, they are grouped under the existing Case.
Alert	A batch of screening results within a Case. Each screening round (initial screening, re-screening, update screening, or ongoing monitoring hit) produces one Alert.
Match	A single hit entity within an Alert — the actual person or organisation record returned by the AML vendor or your custom list that needs to be reviewed.

Entity Types

Cases support two entity types:

Individual — natural person screening (name, DOB, nationality, ID number, etc.)

Organisation — legal entity screening (registered name, registered country, etc.)

Check Types

Each Alert belongs to one of two check pipelines:

AML — hits from the integrated AML vendor screening engine
List — hits from your own uploaded custom lists (sanctions lists, internal watchlists, etc.)

Case Lifecycle

A Case follows a four-status lifecycle:

flowchart LR
    PENDING --> ASSIGNED
    ASSIGNED --> APPROVED
    ASSIGNED --> REJECTED

Status	Meaning
Pending	Newly created. No officer has claimed or been assigned to this case yet.
Assigned	An officer is actively working on this case — either self-claimed (check-in) or dispatched by a manager.
Approved	Review complete. The screened subject has been cleared — all matches were determined to be false positives or otherwise non-actionable.
Rejected	Review complete. One or more matches were confirmed as true positives, and the subject is flagged as a risk.

Reopening: If a closed Case (Approved or Rejected) receives a new Alert from ongoing monitoring or re-screening, it is automatically reopened and returns to an active state for renewed review.

Alert Lifecycle

Each Alert within a Case has its own status:

Status	Meaning
Open	Active alert with matches awaiting review.
Closed	All matches have been reviewed and the alert is resolved.
Expired	Superseded by a newer screening round of the same check type.

When you submit the Case (Approve or Reject), all remaining Open Alerts are automatically closed — no need to manually close each Alert beforehand.

Match Lifecycle

Each Match starts as Unresolved and must be adjudicated by the assigned officer:

Status	Meaning
Unresolved	Default state. The match has not yet been reviewed.
Positive	Confirmed true positive — the matched entity is the same as or materially related to the screened subject.
False	Confirmed false positive — the match is coincidental and does not represent a real hit.

Secondary Review

Matches may also carry a review status for quality assurance workflows:

Review Status	Meaning
None	No secondary review required.
Pending Review	Flagged for secondary review by a senior officer.
Reviewed	Secondary review completed.

Match Adjudication Rules

AML Alerts: At most one match per Alert can be marked as Positive. If one match is confirmed, all others are implicitly false positives.
List Alerts: Multiple matches per Alert can be marked as Positive.
All matches must be resolved (no Unresolved, no Pending Review) before the Case can be submitted.

How It Works

The end-to-end Case Management workflow follows these steps:

Case creation — When AML screening or ongoing monitoring detects a hit, the system automatically creates a Case (or reuses the existing Case for that profile), creates an Alert, and indexes all Matches.
Case assignment — A compliance officer claims the Case from the Open Cases queue (check-in), or a manager dispatches/reassigns it to a specific officer.
Match review — The assigned officer opens the Alert Review Workstation, examines each Match side-by-side against the screened subject, and marks it as Positive or False — with supporting notes.

Case decision — Once all Matches across all Alerts are resolved, the officer submits a final decision (Approve or Reject), with optional comments and evidence attachments. All remaining Open Alerts are auto-closed.

Audit trail — Every action — from case creation through assignment, match adjudication, and final decision — is recorded in the Activity Log with operator, timestamp, and details.

Manage Case Management Tasks

Use these guides to manage cases, review matches, submit decisions, and audit team activity.

Manage Cases

Claim, assign, search, and track cases from the Case List and Case Detail pages.

Review Alerts and Matches

Compare screening matches, filter results, and resolve individual or batch matches.

Submit Case Decisions

Approve or reject a Case and attach supporting evidence.

Activity Log and Access Control

Review the audit trail and understand Case Management permissions.