Article Content
Reviewing a Gift/Entertainment Request
Overview
A Compliance Officer must review all gift and entertainment requests within the system. Gift and entertainment requests can be declined, more information requested, or accepted depending on the information within the request. The employee who created the request will be notified regardless of the outcome.
User Account Requirements
The user account used to log into Resolver must have Compliance Officer permission to review gift and entertainment requests.
Related Information/Setup
Please refer to the Viewing a Request's Change Log History article for more information on viewing a request's change log.
Navigation
- From the Home screen, click the Sort link in the My Task section.
Sort Link
- From the Sort dropdown menu, select Type to sort requests in the My Tasks section by type.
Note:
Clicking Type for a second time will sort the My Task list by type alphabetically.
Type
- Click on a Gift or Entertainment request in the My Task section. Gift and entertainment requests are indicated by a GE followed by a number, indicating the request ID (e.g., GE - 10).
Gift and Entertainment Request Link
- (Optional) If you know the name of the gift or entertainment request, click the Search link and enter the personal trade request name in the Search field.
Alternate Navigation
- From the Home screen, click the Home dropdown menu.
Home Dropdown Menu
- Click the Compliance Team Portal link.
Compliance Team Portal Link
- From the Personal Trade screen, click the Gift and Entertainment tab.
Gift and Entertainment Tab
- From the Gifts and Entertainment screen, click on a request in the Overdue or Review sections.
Gift or Entertainment Request Link
Reviewing a Gift/Entertainment Request
- From the Gifts and Entertainment Details screen, review the information in the Gift/Entertainment Details section.
Gift/Entertainment Details Section
- Information in the Gift/Entertainment Details section differs depending on the request type (gift accepted, entertainment given, etc.).
- Date Gift/Entertainment Given/Received: The date the gift/entertainment was given or received.
- Approximate Value: The gift's/entertainment's total value.
- Currency: The currency code represents the currency used to purchase the gift.
- Gift/Entertainment Description: A brief description of the gift.
- Reason for Gift/Entertainment: The reason for giving the gift.
- Review the information in the Recipient Information section.
Recipient Information Section
- Information in the Provider Information section differs depending on the request type (gift accepted, entertainment given, etc.).
- Name of Individual at Third Party: The name of the person receiving or giving the gift/entertainment.
- Name of Third Party: The name of the company (third-party) receiving or giving the gift/entertainment.
- Relationship: The relationship between the giver and recipient of the gift/entertainment.
- Supporting Documentation: Any supporting documentation. Click the link to review the supporting documentation.
Note:
There will also be a series of questions with answers that will be displayed in the Provider Information section. These questions will differ depending on the request type.
- (Optional) Click the History tab to review the request's change log history.
- When all sections are reviewed, enter any comments, instructions, or additional information in the Comments field under the Compliance Approval/Rejection Decision section.
History Tab
- Select the Decline button to decline the request submission and notify the employee that the request was declined. The employee will see any comments in the Comments field.
Decline Button
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- Select the Request More Information button to request further information from the employee. The employee who submitted the request will get a notification requesting for more information. The employee will see any comments in the Comments field.
Request More Information Button
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- Select the Approve button to approve the personal trade request. The employee who submitted the request will get a notification. The employee will see any comments in the Comments field.
Approve Button