Compliance: Record Risk 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 risk assessment details. 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.
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 within the notes field.
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 Risk’ in the middle of the window which will take you to the ‘Risk Details’ window. The subcontractor or contractor scheme name and reference number will be shown at the top.
- Activity Type - This field will have defaulted to ‘Risk Assessment’ based on the selection made in the previous window.
- Activity End - You should record the date you finished working the case.
- Assessment Period start (date) - You must enter the start date of the period that has been risk assessed.
- Assessment Period End (date) - You must enter the end date of the period that has been risk assessed.
- Result - The entry shown here will have defaulted to ‘Not Taken Up’.
- Location of papers - Record the District record reference of the folder where the Risk papers are filed.
- Add Notes - Select this button to add any supplementary information relating to the risk details entered. You should enter your PID alongside any entries made as the system will record only the date and time of any entries made. All entries should be clear and concise and the details should be compliant with the Data Protection Act/Freedom of Information Act. You should 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:
- 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
Assuming you have selected ‘Back’ you will be returned to the Risk 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.