Compliance: record investigation details
This Action Guide outlines the process involved when a compliance officer wishes to update the compliance history record of either a subcontractor or contractor scheme by recording new, or updating existing investigation details in respect of a closed investigation. To access this functionality the user will need to hold either the CISR compliance officer or CISR compliance manager roles.
The actions described below are identical whether you are recording details on a subcontractor or contractor record, with the exception of recording deduction details which will only be applicable to a scheme contractor record.
If you are updating an existing history record the process will be identical to recording information for the first time however the details in those fields may already be pre-populated with recorded details which you may wish to overwrite - where appropriate, or add to information already recorded.
It is not necessary to complete the authentication process to access this function. Therefore, from the Identify Customer window enter the UTR or AO reference and ‘Internal Enquiry’ as the ‘Contact’ and select [OK]. From the CIS Main Menu window
- select the required subcontractor or contractor reference number
- select ‘Record Compliance History’ from the menu.
The ‘Record Compliance History’ window will display a history of the existing ‘Compliance Activities’ in the top half and ‘Manual Penalties’ that have been levied, in the bottom half against the selected reference.
- Select the button ‘Record Investigation’ in the middle left of the window which will take you to the ‘Investigation Details’ window. The subcontractor or contractor scheme name and reference number will be shown at the top.
Beneath this are the following fields:
- Activity Type – This field will have defaulted to the entry ‘Scheme Review’ if you are recording details for a scheme registration. If you are recording details for a subcontractor registration
* Select either SA or CT enquiry, as appropriate.
- Activity End – Record the date you finished working the case.
- Investigation Period start (date) – Enter the start date of the period that was under investigation.
- Investigation Period End (date) – Enter the end date of the period that was under investigation.
Result – Select the appropriate banding from the drop down menu. The bandings shown relate to the settlement yield obtained, and are:
- Nil Settlement
- Less than £5000
- £5001 - £10,000
- £10,001 - £50,000
More than £50,000
- Undo – Discards any information entered and returns you to the Investigation Details window.
- Back – Retains the information entered and returns you to the Investigation Details window.
- Cancel – Returns you to the CIS Main Menu, with all data entered being lost
- Location of papers - Record the District record reference of the folder where the investigation papers are filed.
- Add Notes – Select this button to add any supplementary information relating to the settlement details entered. You should enter your PID alongside any entries made as the system will record only the date and time of any entries. All entries should be clear and concise and the details should be compliant with the Data Protection Act / Freedom of Information Act. You should also, try to avoid using abbreviations and acronyms to be sure the note will be understandable to others.
- At the bottom of this window are three buttons, they are:
- If the record you are updating is a subcontractor record, (see below if it is a contractor scheme), having selected either ‘Back’ or ‘Undo’ you will be returned to the Investigation Details window where you then have the option to select one of the following:
- Accept – The entries made will be saved and you will be returned to the ‘Compliance Activities and Penalties Overview’ window.
- Back – The entries made will be discarded and you will be returned to the ‘Compliance Activities and Penalties Overview’ window for you to reconsider before making any changes.
- Cancel – Returns you to the CIS Main Menu, with all data entered being lost.If the record you are updating is a contractor scheme record you now have the option of recording unallocated CIS deduction details within a separate window before going on to accept any changes made. To do this you should continue as described at CISR84620 within the action guide ‘Record Unallocated Deductions’.