Personnel Due Diligence (PDD) in EasyAML

Under AUSTRAC's Tranche 2 requirements, every staff member in an AML/CTF role must have a completed Personnel Due Diligence record. This guide walks you through the full process in easyAML - from adding a staff member and initiating their due diligence, through to reviewing screening results and signing off the record. The flow is similar to the customer KYC process, and staff complete it on their own device.

On this page: Download the manual · Watch the video · Step-by-step guide

Jump to: Module Navigation · Due Diligence Initiation · Record Sign-Off · Data Verification Review

Module Navigation

1. Starting from the main dashboard, click Compliance in the left sidebar to get started.
2. Personnel Due Diligence (PDD)  (open directly) lives inside the Compliance module. 
3. The PDD submenu is separate from customer KYC because it serves a different purpose: verifying that your own staff meet AUSTRAC's integrity requirements under AML/CTF Rules 5-14. Under Tranche 2, this applies to any employee in a CDD-relevant role - Compliance Officer, 2IC, CDD User, or Frontline Staff. Before you can run a PDD, the staff member needs to exist as a record in the system.
4. Use Add Staff Member button to create their profile. You'll assign their role here, which determines the depth of due diligence they'll receive - a Compliance Officer undergoes a deeper assessment than a Frontline Staff member.

Due Diligence Initiation

1. Once the staff member's profile is saved, they'll appear in the table with a Start DD option. Initiating due diligence from here creates an active PDD record for that person and begins the compliance workflow. Until this step is completed, the staff member's status will remain unverified.
2. The purpose label matters for your audit trail. New Personnel in AML/CTF Role tells the system - and AUSTRAC, if records are ever produced - the specific reason this PDD was initiated. Other options in this dropdown cover scenarios like role changes or periodic refreshes. Choosing the correct purpose ensures your records are accurate and traceable.
3. This step commits the PDD to the record. From here, the staff member will receive a mobile-friendly questionnaire tailored to their role. The platform handles identity verification, PEP/sanctions screening, and adverse media checks automatically as part of the process - your job is to review and sign off on the findings once they come back.

Record Sign-Off

1. Once a PDD is underway, View DD gives you a live view of where it's at. You can check what's been completed, what's pending, and whether any flags have been raised. This is your primary review interface.
2. If multiple PDDs are in progress, the summary list shows all active records. Select the relevant staff member to drill into their individual assessment. Each record is independent - completing one doesn't affect others.
3. These three sign-off boxes are the core of the Compliance Officer's review. You're confirming that you've assessed the staff member's integrity (character and honesty), competence (skills and knowledge relevant to their AML role), and that any adverse findings have been reviewed and considered. AUSTRAC expects this assessment to be documented - these checkboxes create that record.

Data Verification Review

1. Navigate to the Identity tab.
2. This sub-section holds identity verification records and any supporting evidence already uploaded - for example, a police check from an external provider. For Compliance Officers, a police check is generally required under AUSTRAC's integrity rules; for other staff, it's optional based on your firm's risk assessment.n.
3. If supporting documents haven't been provided yet, use this to send a request directly to the staff member. They'll receive a prompt to upload the required items - the same secure document-collection flow used for customer KYC. This keeps everything in one auditable record rather than chasing paperwork via email.
4. The Risk tab aggregates the screening results for this staff member - their PEP status, sanctions matches, and adverse media hits. Review this before signing off. If anything is flagged here, it needs to be addressed or documented as a managed finding before the PDD can be completed.
5. The Matches tab shows the results of PEP, sanctions, and adverse media screening runs against this staff member's identity. Any potential matches are listed here for your review. You'll need to either clear a match (confirm it's a false positive) or escalate it as a genuine finding before the PDD can be finalised.
6. Attachments holds all documents uploaded as part of this PDD - identity documents, police check, reference letters, or anything else your firm's policy requires. Keeping everything attached to the PDD record (rather than stored externally) ensures your audit trail is self-contained and producible to AUSTRAC if needed.
7. This tab shows the role-specific questionnaire the staff member completed. Questions cover self-disclosures around criminal history, regulatory findings, conflicts of interest, and financial position. The depth of the questionnaire reflects the staff member's role - a Compliance Officer will see more questions than a Frontline Staff member.
8. Once you've reviewed all tabs, return to the summary to get a consolidated view of the PDD record before signing it off. This is a good checkpoint to confirm nothing has been missed across identity, screening, documents, and questionnaire.