Article Content
Reviewing an Operational Incident Disclosure
Overview
A Compliance Officer must review all operational incident disclosures within the system. Operational Incident disclosures can have more information requested or accepted, depending on the information within the request.
User Account Requirements
The user account used to log into Kroll's Managed Compliance Software must have Compliance Officer permission to review operational incident disclosures.
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 dropdown menu in the My Task section.
Sort Dropdown Menu
- 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 an Operational Incident request in the My Task section. Operational incident disclosure requests are indicated by a D followed by a number, indicating the request ID (e.g., D - 19).
Operational Incident Request Link
- (Optional) If you know the name of the operational incident request, click the Search link and enter the operational incident 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 Disclosures tab.
Disclosures Tab
- From the Disclosures screen, click a request in the Pending Review/More Information Required section.
Disclosure Request Link
Reviewing an Operational Incident Disclosure
- From the Operational Incident Request screen, review the information in the Operational Incident section.
- Date of Incident: The date the incident occurred.
- Date Incident was Identified: The date the incident was identified.
- Please indicate potential negative impacts that the incident being reported could cause: Indicates the negative impact the operational incident caused.
- Negative Impacts - Other: If Other is selected in the field above, the user must include additional information in the Negative Impact - Other field.
- Details of Incident: A description outlining the operational incident.
- Additional Information: Any additional details or instructions.
- Supporting Documentation: Additional files or websites that give evidence supporting the suspicious activity.
Dealing Error Section
- After reviewing the Operational Incident section, enter the consequences of the operational incident in the Operational Consequences field under the Compliance Review section.
Operational Consequences Field
- Enter any costs that have incurred as a result of the operational incident in the Cost Consequences of Incident field.
Cost Consequences on Incident Field
- Enter the steps taken to fix the operational incident in the Steps Take to Rectify Incident field.
Steps to Rectify Incident Field
- Enter the steps taken to prevent the operational incident from occurring again in the Steps Taken to Avoid Recurrence field.
Steps Taken to Avoid Recurrence Field
- Enter additional notes regarding the operational incident in the Incident Assessment Notes field.
Date Error Remediated Field
- Select the date that the operational incident was addressed from the Calendar pop-up under the Date Operational Incident Remediated field, by clicking a Date.
Date Operational Incident Remediated Field
- Include support documentation by dragging and dropping files into the designated area on the Attachments field or select the top proportion of the Attachments field and select a file from the connected PC.
Attachments 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
-
(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
- (Optional) Click the History tab to review the request's change log history.
History Tab
- 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
- Select the Complete Review button to approve the operational incident disclosure request. The employee who submitted the request will get a notification. The employee will see any comments in the Comments field.
Complete Review Button