Case Detail ESCALATED HIGH Risk
Invoice Summary
| Vendor | Restricted Trade LLC (V010) |
|---|---|
| Invoice # | INV-SANCTION-001 |
| Date | 2024-07-20 |
| Amount | USD 50000.00 |
| PO Number | PO-010 |
| Cost Center | CC-MFG-001 |
| Description | SANCTIONED VENDOR TEST |
Retrieved Evidence
Source: ERP_DEMO | Retrieved: 2026-01-24 18:36
{
"approved_amount": 100000.0,
"created_date": "2024-05-01",
"currency": "USD",
"expiry_date": "2024-12-31",
"line_items": [
{
"description": "Specialized Components",
"quantity": 100,
"total": 100000.0,
"unit_price": 1000.0
}
],
"payment_terms": "Net 30",
"po_number": "PO-010",
"receiving_status": "CONFIRMED",
"vendor_id": "V010",
"vendor_name": "Restricted Trade LLC"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Accounts Payable",
"description": "Defines approval thresholds and requirements for invoice processing.",
"effective_date": "2024-01-01",
"exceptions": [
"Utility payments exempt from PO requirement",
"Recurring subscription payments may use blanket PO"
],
"policy_id": "POL-001",
"requirements": [
"Valid PO number required for all invoices over $1,000",
"Three-way match (PO, Receipt, Invoice) required for goods",
"Manager attestation required for services",
"All invoices must be processed within 5 business days of receipt"
],
"rules": [
{
"approver_role": "AP Specialist",
"description": "Invoices under $5,000 require AP Specialist approval",
"rule_id": "APR-001",
"threshold": 5000
},
{
"approver_role": "AP Manager",
"description": "Invoices $5,000-$25,000 require AP Manager approval",
"rule_id": "APR-002",
"threshold": 25000
},
{
"approver_role": "Finance Director",
"description": "Invoices $25,000-$100,000 require Finance Director approval",
"rule_id": "APR-003",
"threshold": 100000
},
{
"approver_role": "CFO",
"description": "Invoices over $100,000 require CFO approval",
"rule_id": "APR-004",
"threshold": null
}
],
"title": "Invoice Approval Policy",
"version": "2.1"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Fraud Prevention",
"description": "Procedures for detecting and handling potential duplicate invoices.",
"detection_criteria": [
"Same vendor + same invoice number = Definite duplicate",
"Same vendor + same amount + same date = Probable duplicate",
"Same vendor + same amount + within 30 days = Possible duplicate"
],
"effective_date": "2024-01-01",
"policy_id": "POL-002",
"resolution_process": [
"AP Specialist reviews flagged invoices within 24 hours",
"Contact vendor for clarification if needed",
"Document resolution in case notes",
"Escalate repeated duplicates to Procurement"
],
"rules": [
{
"action": "AUTO_HOLD",
"description": "System flags invoices with matching invoice number from same vendor",
"rule_id": "DUP-001"
},
{
"action": "REVIEW_REQUIRED",
"description": "System flags invoices with same amount and date from same vendor",
"rule_id": "DUP-002"
},
{
"action": "REJECT_AND_LOG",
"description": "Confirmed duplicates must be rejected and documented",
"rule_id": "DUP-003"
}
],
"title": "Duplicate Invoice Policy",
"version": "1.3"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Compliance",
"description": "Requirements for vendor screening against sanctions lists and restricted parties.",
"documentation_requirements": [
"Screenshot of sanctions screening result",
"Date and time of screening",
"Name of person who performed screening",
"Retain records for 7 years"
],
"effective_date": "2024-01-01",
"escalation_contacts": [
{
"email": "compliance@company.com",
"role": "Compliance Officer"
},
{
"email": "legal@company.com",
"role": "General Counsel"
}
],
"penalties": [
"Criminal penalties up to $1M per violation for individuals",
"Corporate penalties up to $20M or twice transaction value",
"Potential debarment from government contracts"
],
"policy_id": "POL-003",
"rules": [
{
"action": "SCREEN_REQUIRED",
"description": "All vendors must be screened against OFAC SDN list",
"rule_id": "SAN-001"
},
{
"action": "BLOCK_PAYMENT",
"description": "Payments to sanctioned entities are strictly prohibited",
"rule_id": "SAN-002"
},
{
"action": "COMPLIANCE_REVIEW",
"description": "Potential matches require Compliance review before payment",
"rule_id": "SAN-003"
}
],
"sanctioned_vendors": [
"V010"
],
"screening_frequency": "Real-time for new vendors, monthly for existing",
"title": "Vendor Sanctions Policy",
"version": "3.0"
}
Source: ERP_DEMO | Retrieved: 2026-01-24 18:36
{
"approved_amount": 100000.0,
"created_date": "2024-05-01",
"currency": "USD",
"expiry_date": "2024-12-31",
"line_items": [
{
"description": "Specialized Components",
"quantity": 100,
"total": 100000.0,
"unit_price": 1000.0
}
],
"payment_terms": "Net 30",
"po_number": "PO-010",
"receiving_status": "CONFIRMED",
"vendor_id": "V010",
"vendor_name": "Restricted Trade LLC"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Accounts Payable",
"description": "Defines approval thresholds and requirements for invoice processing.",
"effective_date": "2024-01-01",
"exceptions": [
"Utility payments exempt from PO requirement",
"Recurring subscription payments may use blanket PO"
],
"policy_id": "POL-001",
"requirements": [
"Valid PO number required for all invoices over $1,000",
"Three-way match (PO, Receipt, Invoice) required for goods",
"Manager attestation required for services",
"All invoices must be processed within 5 business days of receipt"
],
"rules": [
{
"approver_role": "AP Specialist",
"description": "Invoices under $5,000 require AP Specialist approval",
"rule_id": "APR-001",
"threshold": 5000
},
{
"approver_role": "AP Manager",
"description": "Invoices $5,000-$25,000 require AP Manager approval",
"rule_id": "APR-002",
"threshold": 25000
},
{
"approver_role": "Finance Director",
"description": "Invoices $25,000-$100,000 require Finance Director approval",
"rule_id": "APR-003",
"threshold": 100000
},
{
"approver_role": "CFO",
"description": "Invoices over $100,000 require CFO approval",
"rule_id": "APR-004",
"threshold": null
}
],
"title": "Invoice Approval Policy",
"version": "2.1"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Fraud Prevention",
"description": "Procedures for detecting and handling potential duplicate invoices.",
"detection_criteria": [
"Same vendor + same invoice number = Definite duplicate",
"Same vendor + same amount + same date = Probable duplicate",
"Same vendor + same amount + within 30 days = Possible duplicate"
],
"effective_date": "2024-01-01",
"policy_id": "POL-002",
"resolution_process": [
"AP Specialist reviews flagged invoices within 24 hours",
"Contact vendor for clarification if needed",
"Document resolution in case notes",
"Escalate repeated duplicates to Procurement"
],
"rules": [
{
"action": "AUTO_HOLD",
"description": "System flags invoices with matching invoice number from same vendor",
"rule_id": "DUP-001"
},
{
"action": "REVIEW_REQUIRED",
"description": "System flags invoices with same amount and date from same vendor",
"rule_id": "DUP-002"
},
{
"action": "REJECT_AND_LOG",
"description": "Confirmed duplicates must be rejected and documented",
"rule_id": "DUP-003"
}
],
"title": "Duplicate Invoice Policy",
"version": "1.3"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Compliance",
"description": "Requirements for vendor screening against sanctions lists and restricted parties.",
"documentation_requirements": [
"Screenshot of sanctions screening result",
"Date and time of screening",
"Name of person who performed screening",
"Retain records for 7 years"
],
"effective_date": "2024-01-01",
"escalation_contacts": [
{
"email": "compliance@company.com",
"role": "Compliance Officer"
},
{
"email": "legal@company.com",
"role": "General Counsel"
}
],
"penalties": [
"Criminal penalties up to $1M per violation for individuals",
"Corporate penalties up to $20M or twice transaction value",
"Potential debarment from government contracts"
],
"policy_id": "POL-003",
"rules": [
{
"action": "SCREEN_REQUIRED",
"description": "All vendors must be screened against OFAC SDN list",
"rule_id": "SAN-001"
},
{
"action": "BLOCK_PAYMENT",
"description": "Payments to sanctioned entities are strictly prohibited",
"rule_id": "SAN-002"
},
{
"action": "COMPLIANCE_REVIEW",
"description": "Potential matches require Compliance review before payment",
"rule_id": "SAN-003"
}
],
"sanctioned_vendors": [
"V010"
],
"screening_frequency": "Real-time for new vendors, monthly for existing",
"title": "Vendor Sanctions Policy",
"version": "3.0"
}
Source: ERP_DEMO | Retrieved: 2026-01-24 18:36
{
"approved_amount": 100000.0,
"created_date": "2024-05-01",
"currency": "USD",
"expiry_date": "2024-12-31",
"line_items": [
{
"description": "Specialized Components",
"quantity": 100,
"total": 100000.0,
"unit_price": 1000.0
}
],
"payment_terms": "Net 30",
"po_number": "PO-010",
"receiving_status": "CONFIRMED",
"vendor_id": "V010",
"vendor_name": "Restricted Trade LLC"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Accounts Payable",
"description": "Defines approval thresholds and requirements for invoice processing.",
"effective_date": "2024-01-01",
"exceptions": [
"Utility payments exempt from PO requirement",
"Recurring subscription payments may use blanket PO"
],
"policy_id": "POL-001",
"requirements": [
"Valid PO number required for all invoices over $1,000",
"Three-way match (PO, Receipt, Invoice) required for goods",
"Manager attestation required for services",
"All invoices must be processed within 5 business days of receipt"
],
"rules": [
{
"approver_role": "AP Specialist",
"description": "Invoices under $5,000 require AP Specialist approval",
"rule_id": "APR-001",
"threshold": 5000
},
{
"approver_role": "AP Manager",
"description": "Invoices $5,000-$25,000 require AP Manager approval",
"rule_id": "APR-002",
"threshold": 25000
},
{
"approver_role": "Finance Director",
"description": "Invoices $25,000-$100,000 require Finance Director approval",
"rule_id": "APR-003",
"threshold": 100000
},
{
"approver_role": "CFO",
"description": "Invoices over $100,000 require CFO approval",
"rule_id": "APR-004",
"threshold": null
}
],
"title": "Invoice Approval Policy",
"version": "2.1"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Fraud Prevention",
"description": "Procedures for detecting and handling potential duplicate invoices.",
"detection_criteria": [
"Same vendor + same invoice number = Definite duplicate",
"Same vendor + same amount + same date = Probable duplicate",
"Same vendor + same amount + within 30 days = Possible duplicate"
],
"effective_date": "2024-01-01",
"policy_id": "POL-002",
"resolution_process": [
"AP Specialist reviews flagged invoices within 24 hours",
"Contact vendor for clarification if needed",
"Document resolution in case notes",
"Escalate repeated duplicates to Procurement"
],
"rules": [
{
"action": "AUTO_HOLD",
"description": "System flags invoices with matching invoice number from same vendor",
"rule_id": "DUP-001"
},
{
"action": "REVIEW_REQUIRED",
"description": "System flags invoices with same amount and date from same vendor",
"rule_id": "DUP-002"
},
{
"action": "REJECT_AND_LOG",
"description": "Confirmed duplicates must be rejected and documented",
"rule_id": "DUP-003"
}
],
"title": "Duplicate Invoice Policy",
"version": "1.3"
}
Source: POLICY_MGMT_DEMO | Retrieved: 2026-01-24 18:36
{
"category": "Compliance",
"description": "Requirements for vendor screening against sanctions lists and restricted parties.",
"documentation_requirements": [
"Screenshot of sanctions screening result",
"Date and time of screening",
"Name of person who performed screening",
"Retain records for 7 years"
],
"effective_date": "2024-01-01",
"escalation_contacts": [
{
"email": "compliance@company.com",
"role": "Compliance Officer"
},
{
"email": "legal@company.com",
"role": "General Counsel"
}
],
"penalties": [
"Criminal penalties up to $1M per violation for individuals",
"Corporate penalties up to $20M or twice transaction value",
"Potential debarment from government contracts"
],
"policy_id": "POL-003",
"rules": [
{
"action": "SCREEN_REQUIRED",
"description": "All vendors must be screened against OFAC SDN list",
"rule_id": "SAN-001"
},
{
"action": "BLOCK_PAYMENT",
"description": "Payments to sanctioned entities are strictly prohibited",
"rule_id": "SAN-002"
},
{
"action": "COMPLIANCE_REVIEW",
"description": "Potential matches require Compliance review before payment",
"rule_id": "SAN-003"
}
],
"sanctioned_vendors": [
"V010"
],
"screening_frequency": "Real-time for new vendors, monthly for existing",
"title": "Vendor Sanctions Policy",
"version": "3.0"
}
Agent Analysis
Confidence Score
20%
Decision:
ESCALATE
Summary:
Completed 7 validation checks: 5 passed, 1 failed, 1 warnings. ESCALATED due to: Vendor on sanctions list - compliance escalation required; Low confidence score (0.20) - insufficient evidence; High risk level - requires senior review
Escalation Reasons:
- Vendor on sanctions list - compliance escalation required
- Low confidence score (0.20) - insufficient evidence
- High risk level - requires senior review
Findings:
- PO_EXISTS: PO PO-010 found PASS
- CONTRACT_EXISTS: No contract found for vendor V010 WARNING
- AMOUNT_WITHIN_PO: Invoice amount $50,000.00 <= PO approved $100,000.00 PASS
- RECEIVING_CONFIRMED: Goods/services receipt confirmed PASS
- VENDOR_MATCH: Invoice vendor V010 matches PO vendor PASS
- CURRENCY_MATCH: Invoice currency USD matches PO PASS
- SANCTIONS_CHECK: CRITICAL: Vendor V010 is on sanctions list! FAIL
Resolution Steps:
- STOP - Vendor on sanctions list, escalate immediately
Risk Assessment:
HIGH - Sanctions violation
Audit Trail
CASE_CREATED
18:36:34
HUMAN
{'business_owner_role': 'AP Manager'}
Hash: 9caf4aed5990c99a...
INVOICE_UPLOADED
18:36:34
HUMAN
{'vendor_name': 'Restricted Trade LLC', 'amount_total': 50000.0, 'invoice_number': 'INV-SANCTION-001'}
Hash: bb56205e5fd4f5b9...
RETRIEVED_DOC
18:36:34
AGENT
{'doc_id': 'PO-010', 'doc_type': 'PO'}
Hash: 7b2155135de6e6f2...
RETRIEVED_DOC
18:36:34
AGENT
{'doc_id': 'POL-001', 'doc_type': 'POLICY'}
Hash: 3a460d4818685884...
RETRIEVED_DOC
18:36:34
AGENT
{'doc_id': 'POL-002', 'doc_type': 'POLICY'}
Hash: 2f672b9c2ee2bbe8...
RETRIEVED_DOC
18:36:34
AGENT
{'doc_id': 'POL-003', 'doc_type': 'POLICY'}
Hash: c03bbec3013e6b05...
PLAN_CREATED
18:36:34
AGENT
{'decision': 'ESCALATE', 'confidence': 0.2, 'risk_level': 'HIGH'}
Hash: cddb8826fc317abd...
ESCALATED
18:36:34
AGENT
{'reasons': ['Vendor on sanctions list - compliance escalation required', 'Low confidence score (0.20) - insufficient evidence', 'High risk level - requires senior review']}
Hash: b96e137dcf47184d...
RETRIEVED_DOC
18:36:40
AGENT
{'doc_id': 'PO-010', 'doc_type': 'PO'}
Hash: 0240e14ff32c220a...
RETRIEVED_DOC
18:36:40
AGENT
{'doc_id': 'POL-001', 'doc_type': 'POLICY'}
Hash: d77182845e6814f4...
RETRIEVED_DOC
18:36:40
AGENT
{'doc_id': 'POL-002', 'doc_type': 'POLICY'}
Hash: 67c91446c583d034...
RETRIEVED_DOC
18:36:40
AGENT
{'doc_id': 'POL-003', 'doc_type': 'POLICY'}
Hash: f70234cce7604f24...
PLAN_CREATED
18:36:40
AGENT
{'decision': 'ESCALATE', 'confidence': 0.2, 'risk_level': 'HIGH'}
Hash: b85df3c5cae0070b...
ESCALATED
18:36:40
AGENT
{'reasons': ['Vendor on sanctions list - compliance escalation required', 'Low confidence score (0.20) - insufficient evidence', 'High risk level - requires senior review']}
Hash: 05c6b0fb516f7b9e...
RETRIEVED_DOC
18:36:45
AGENT
{'doc_id': 'PO-010', 'doc_type': 'PO'}
Hash: 2a0b7557849ef7fa...
RETRIEVED_DOC
18:36:45
AGENT
{'doc_id': 'POL-001', 'doc_type': 'POLICY'}
Hash: 4a516339e3549cbd...
RETRIEVED_DOC
18:36:45
AGENT
{'doc_id': 'POL-002', 'doc_type': 'POLICY'}
Hash: 0226579a6dfaa8ea...
RETRIEVED_DOC
18:36:45
AGENT
{'doc_id': 'POL-003', 'doc_type': 'POLICY'}
Hash: 872a95786c84a84f...
PLAN_CREATED
18:36:45
AGENT
{'decision': 'ESCALATE', 'confidence': 0.2, 'risk_level': 'HIGH'}
Hash: a536516ecf743182...
ESCALATED
18:36:45
AGENT
{'reasons': ['Vendor on sanctions list - compliance escalation required', 'Low confidence score (0.20) - insufficient evidence', 'High risk level - requires senior review']}
Hash: 8c94e302dbe7b779...