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Creating an Operational Incident Compliance Disclosure Request
Overview
Users must report operational incidents to a compliance officer to create a record of the incident and allow for a resolution. An operational incident occurs during daily business activities and can affect procedures and systems.
Navigation
- From the Home screen, click the Home dropdown menu.
Home Menu
- Click the Employee Portal link.
Employee Portal Link
- From the Personal Trading screen, click the Compliance Disclosures tab.
Compliance Disclosures Tab
- From the Compliance Disclosures screen, click the + New Compliance Disclosure button.
+ New Compliance Disclosure Button
Creating an Operational Incident Compliance Disclosure Request
- From the Create a New Disclosure screen, select Operational Incident from the Disclosure Type dropdown menu.
Disclosure Type Field
- Click the Operational Incident button.
Operational Incident Button
- Enter a description outlining the operational incident in the Description field.
Description Field
- Select the date the operational incident occurred on the Calendar pop-up under the Date of Incident field by selecting a Date.
Date of Incident Field
- Select the date the operational incident was identified on the Calendar pop-up under the Date Incident was Identified field by selecting a Date.
Date Incident was Identified Field
- Select one or more negative impact options from the Please indicate potential negative impacts that the incident being reported could cause dropdown menu.
Please Indicate Potential Negative Impacts that the Incident being Reported Could Cause Field
- Enter a description outlining the operational incident in the Details of Incident field.
Details of Incident Field
- Enter any additional details or instructions in the Additional Information field.
Additional Information Field
- 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 Field
- 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.
Web Link
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(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.
Image Icons
- 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.
Employee Field
- Click the Submit button to send the request to a Compliance Officer.
Submit Button
- The Compliance Officer will receive an email notification indicating a request requires action.
Notification
- Click the Cancel button to cancel the request and return to the previous screen. Compliance Officers will not see a cancelled request.