1. Kroll Managed Compliance Software
  2. Employee Portal
  3. Gifts & Entertainment

Creating a New Entertainment Request

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Overview

Navigation

Creating a New Entertainment Request

Overview

A user can complete a request when receiving an entertainment item (e.g., tickets) or when giving an entertainment item. The request is sent to a Compliance Officer so it can be reviewed and accepted or declined. The user creating the request will receive a notification when the request is accepted or declined, which can include comments from the Compliance Officer.

Navigation

  1. From the Home screen, click the Home dropdown menu.

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Home Menu

  1. Click the Employee Portal link.

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Employee Portal Link

  1. From the Personal Trading screen, click the Gifts & Entertainment tab.

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Gifts & Entertainment Tab

  1. From the Gifts & Entertainment screen, click the + New Gift or Entertainment button.

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+ New Gift or Entertainment Button

Creating a New Entertainment Request

Creating an entertainment request for giving or receiving is the same process. For illustrative purposes, we will create a entertainment receiving request.

  1. From the Create a new submission screen, select the Entertainment radio button under the Request Type field.

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Request Type Field

  1. Select the Received radio button under the Gift Given or Received field.

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Gift Given or Received Field

  1. Click the Next button.

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Next Button

  1. Select the date the entertainment item was received from the Calendar pop-up under the Date Entertainment Received field.

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Date Entertainment Received Field

  1. Enter the entertainment item's approximate value in the Approximate Value field. The Approximate Value field does not use decimal places. Thresholds can be configured within the system, so that certain monetary ranges will be automatically approved or denied by the system (e.g., Items from $0 - $50 are automatically approved by the system, items from $51 - $250 are reviewed by a Compliance Officer, and the system will automatically deny any item that is $251 and above).

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Approximate Value Field

  1. Select a Currency Code from the Currency dropdown menu. The currency code represents the entertainment's currency.

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Currency Field

  1. Select an entertainment description from the Entertainment Description dropdown menu.

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Entertainment Description

  1. Enter any additional information, instruction, or long description in the Please provide any further relevant information field.

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Please Provide any Further Relevant Information Field

  1. Enter the reason for receiving the entertainment item in the Reason for Entertainment field.

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Reason for Entertainment Field

  1. Enter the name of the person giving the entertainment item in the Name of individual at third party field.

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Name of Individual at Third Party Field

  1. Enter the name of the company (third-party) in the Name of Third Party field.

Name of Third Party Field.png

Name of Third Party Field

  1. Select a relationship type from the Relationship dropdown menu:
    • Vendor
    • Client
    • Broker
    • Other

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Relationship Field

  1. If Other is selected, you must include additional information in the Please provide details about the nature of the relationship field.

Other Additional Information Field.png

Please provide details about the nature of the relationship

  1. Select an option to the question Could this Entertainment create a potential conflict of interest? If the user selects Yes, they will have to include further details.
  2. Select an option to the question Is the recipient a government official, political party, political candidate, intermediary, or representative or family member of such? If the user selects Yes, they will have to include further details.

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Question Fields

  1. Include support documentation by dragging and dropping files into the designated area on the Supporting Documentation field, or select the top proportion of the Supporting Documentation field and select a file from the connected PC.

Supporting Documentation.png

Supporting Documentation Field

  1. Click the designated area on the Supporting Documentation field to add a web link. For more information on adding a web link to the project, see the Adding a Web Link article.

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Web Link

  1. (Optional) Click the following icons to edit or delete an image from the request:
    • Edit: Click the Edit icon to rename the file.
    • Delete: Click the Delete icon to remove the file from the request.

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Image Icons

  1. Enter a keyword in the Employee field and select your name from the dropdown menu. Entering your name indicates you acknowledge all policies and laws pertaining to this action.

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Employee Field

  1. Click the Submit button to send the request to a Compliance Officer. 

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Submit Button

  1. The Compliance Officer will receive an email notification indicating a request requires action.
  2. Click the Cancel button to cancel the request and return to the previous screen. Compliance Officers will not see a cancelled request.
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