Case List

The Case Assigned to a third party profile related to a questionnaire sent for response, due diligence investigation, or other action. List tab shows a list of cases which can be filtered by the criteria shown. Select to change the search field A field is a way to input information, often a question. from, for example, Case Number, Company Name, Requester, and so on. Complete other filters, as needed. Select Reset View to clear filters or searches. You can select a column to change the display order.

Case stages

A case goes through the following stages, which display on the Case List tab:

• DDQ Due Diligence Questionnaire which can be sent to third parties for response. Questions can be added to a risk model to use in determining the overall risk rating for a third party. Invite: The third-party is invited to complete the DDQ online, but the third-party has not yet submitted the DDQ.
• Qualification: The third-party completed and submitted the DDQ.
• Case Rejected: The case was rejected due to incomplete information. The DDQ is in the third-party's queue, and the third-party must update and resubmit the DDQ.
• Case Closed: The case was closed without ordering an investigation.
• Budget Requested: An ADD investigation was ordered or an OSI Open Source Investigation OSI is a fee-based investigation with an analyst completing desk research. or EDD Enhanced Due Diligence is a fee-based, 'boots on the ground' investigation with an investigator in country. investigation was ordered without specifying a country, so Third Party Risk Management/Compliance requested that the investigator propose a budget.
• Budget Submitted: The investigator submitted a proposed budget.
• Budget Rejected: The proposed budget was rejected.
• Draft: The case was created manually but not submitted.
• Budget Approved: The case is submitted and the investigator's budget is approved. The case is in the investigator's queue and awaiting investigator acceptance.
• Accepted by Investigator: The investigator accepted the case. An auto-generated email is sent to the requester with the following information:
  • Notification that the investigation is in progress. The email subject is: Subject: Investigation Accepted.
  • Notification of the report's Expected Due Date based on an agreed upon schedule.
• Rejected by Investigator: The investigator rejected the case.
• Completed by Investigator: The investigator completed the investigation, uploaded the report to the case, and marked it as Complete. An auto-generated email notifies the requester that the report is available for download.