Case Folder

CaseClosed Assigned to a third party profile related to a questionnaire sent for response, due diligence investigation, or other action. folder tabs are based on questionnaire responses and are customizable. For example, the Company, Personnel, Business Practices, Relationship, and Additional Information tabs are customizable and may be optional, based on the case. Manually created cases are not associated with a questionnaire and will have fewer tabs.

If a case has been created from an engagement, you can select the View icon to view the 3P EngagementClosed A 3P Profile may have one or more 3P Engagements so different business units in your organization can apply differnt risk and compliance program configurations for the 3P Profile. Cases are assigned to 3P Engagements.. Cases created from an engagement inherit data by default, including TypeClosed The type of third party, for example, Channel Partner, Vendor, Supplier, or DO NOT ENGAGE., Category, Region, and Department.

To view a case folder, select a row on the Case List to display the Case Folder tab. These are the default tabs but you may see more or less tab, as indicated earlier.

  • Company tab: View the case summary, including details on the company, scope of due diligence, and compliance findings. The Intake FormClosed A form is a questionnaire to gather information. Source, Intake Form Language, and Intake Form Version display. In addition, the translations are displayed, such as Dropdown Translations (Active/Inactive) and Radio Button Translations (Active/Inactive).

  • Personnel tab: View key managers, owners, and other personnel associated with the third-party. You can add personnel.

  • Business Practices tab: View past and current business conduct.

  • Relationship tab: View relationships with other parties such as governments and compliance organizations. View individual and bank references.

  • Additional Information tab: View information such as if the organization has ethics policies, provides training, and so on.

  • Attachments: View documents provided for the case. You can upload new documents.

  • Executive Summary tab: Quickly view a summary of additional details.

  • Case Notes tab: View and add case notes. Case notes do not roll up to, for example, the 3P Profile.

  • Reviewer tab: Review a list of deviations from the recommended scope of due diligence including red flags, unexpected questionnaire responses, and renewal responses that have changed from previous responses. Items are identified as Needs Review. For step-by-step details, see Reviewing the questionnaire.

  • Audit Log tab: View the details of each action taken on the case including the date, event, user, case identifier, and details. If you have the correct rights, you can view all actions taken in the system. For more information, see Managing audit logs.

Case action buttons

These action buttons are available as you work with cases:

List of buttons Description

Accept

Accept the investigation and move the case to the next stageClosed The stage the case is in, for example, DDQ Invite, Qualification, Budget Requested, Case Rejected, and so on.. The case moves from Completed by Investigator to Accepted by Requester. This closes the case.

Convert Order further investigation, choose the investigation type, and see the cost before you complete the order.
Invite | Re-Invite or Renew Send a case questionnaire to the third-party for the first time or again.
Print Print the information to your downloads folder in PDF format.
Reassign to assign the case to another team member. If the current case requester reassigns the case to a new requester, the new requester receives an email informing them of the change. If a new requester takes a case from the previous requester, the previous requester will receive an email notifying them of the change. If another team member (who is not the previous requester nor the new requester) reassigns the case, both the previous and new requesters will receive an email notifying them of the change.
Reject/Close

Select a response. Examples:

  • 01 - Incomplete information: Select this reject code to send an incomplete questionnaire back to the third-party. The third-party will receive an email with the Explanation you enter. Upon receiving the email notification, the third-party can update their responses and resubmit. Only code 01 sends an alert.

  • 02 - Red Flags Revealed in Reference Checks: The case is closed. No notification is sent to the third-party.

  • 04 - Relationship not desired for business reasons: The case is closed. No notification is sent to the third-party.

  • 05 - Background Check not Required per our Due Diligence Policy: The case is closed. No notification is sent to the third-party.

  • 06 - Budget Disagreement: The case is closed. No notification is sent to the third-party.

  • 99 - Permanently Delete Case: The case is deleted manually as viewed in the audit record. No notification is sent to the third-party.

    Once rejected or closed The case CASE REJECT/CLOSE DETAIL display on Case Management, Company tab.
View

Leave the case and go to the 3P Profile related to the case.