Sanctions and TFS Review Checklist

Use this working checklist to convert sanctions screening checklist UAE into a reviewable record. It is designed for completion by a named preparer and an independent approver, with applicability confirmed before evidence is requested.

*Reviewed: 5 October 2026. Owner: __________. Supplier: __________. Risk tier: __________. Review date: __________.*

Completion rules

• Use N/A with rationale rather than leaving an item blank.
• Link or identify the evidence; do not paste unnecessary identity data into the checklist.
• A possible match, missing result or discrepancy requires review, not an automatic pass or fail.
• Every exception needs an accountable approver, compensating control, remediation owner and expiry date.
• Set both an evidence-expiry reminder and event-driven reassessment triggers.

1. Screening population

• ☐ Define the exact requirement and confirm whether screening population applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to screening population; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires screening population to be checked again.

2. Identifiers and aliases

• ☐ Define the exact requirement and confirm whether identifiers and aliases applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to identifiers and aliases; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires identifiers and aliases to be checked again.

3. List and source coverage

• ☐ Define the exact requirement and confirm whether list and source coverage applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to list and source coverage; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires list and source coverage to be checked again.

4. Possible-match triage

• ☐ Define the exact requirement and confirm whether possible-match triage applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to possible-match triage; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires possible-match triage to be checked again.

5. Escalation and restrictions

• ☐ Define the exact requirement and confirm whether escalation and restrictions applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to escalation and restrictions; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires escalation and restrictions to be checked again.

6. Decision record

• ☐ Define the exact requirement and confirm whether decision record applies to this supplier and transaction.
• ☐ Record the legal entity, evidence source, retrieval date and reviewer.
• ☐ Compare supplier-declared information with the authoritative or independent evidence available.
• ☐ Mark the result as verified, supplier-declared, expired, unavailable or unresolved.
• ☐ Escalate material mismatches; record the decision, approver, conditions and next trigger.

Evidence note: Attach only evidence relevant to decision record; avoid unnecessary personal data. The reviewer should write one sentence explaining what the evidence establishes, one sentence recording any limitation, and the date or event that requires decision record to be checked again.

Final approval record

Important limitation

This checklist is general information and an operating aid, not legal, tax or regulatory advice. Tailor it to the buyer's legal status, sector, jurisdiction, transaction and policy; obtain specialist review where required.

Continue the workflow in Vendoreye

Use the vendor verification workflow to organise evidence, route accountable review and retain the decision record across the supplier lifecycle.