TCM1000539 - How to clear a case from the Compliance Failures Worklist

Version 1.0

Changes to previous version - new guidance.

Step 1

To process the application with no amendments.

Enter Interim Single Sign On, select the NTC Service and MU number

select ‘Worklists’ and ‘Maintain’ to obtain the Compliance Failures Worklist (CFW)
select ‘Compliance Failures’ from the drop down menu and the relevant MU number
highlight the relevant case on the CFW.
select ‘File’
select ‘Next Function’
highlight ‘Process Compliance Case’
select OK
select ‘Review Decision’ then ‘Risk Considered - Proceed’
enter ‘Risk Cleared’ in the Reason Box.
select OK
select ‘OK’

The system will then release the application for processing and the entry will automatically be deleted from the CFW.

To process the application with an amendment.

Amend the claim as appropriate using Function ‘Capture Application’

using the relevant tabs on the toolbar make the necessary amendments to the claim
select the SM tab, enter the appropriate standardised message
select ‘Worklists’ and ‘Maintain’ to access the CFW.
select the relevant case on the CFW.
select ‘File’
select ‘Next Function’
select ‘Process Compliance Case’
select ‘OK’
select the ‘Review Decision’ then ‘Risk Considered - Proceed’
enter ‘Risk Cleared’ in the Reason box.
select ‘OK’
select ‘OK’

The entry will automatically be deleted from the CFW.

Where an amendment has been made, the yield should be recorded on CCMIS.