Compliance Desktop® |Technology Platform Admin User Guide

189 Pages·2017·6.24 MB·English

by  Gabriela Martes

Compliance Desktop® |Technology
Platform
Admin User Guide
Compliance Desktop® Technology Platform
Admin User Guide v.1

Table of Contents
1. Logging into ComplianceDesktop® ............................................................................................... 4
1.1 ComplianceDesktop® Landing Page ...................................................................................... 4
1.2 Requesting a New Password ................................................................................................... 4
1.3 Requesting a New Login ID .................................................................................................... 5
2. Compliance Desktop Core .............................................................................................................. 5
2.1 User Management ......................................................................................................................... 5
2.2 Settings ........................................................................................................................................ 15
3 Due Diligence Manager ................................................................................................................ 54
3.1 Settings ........................................................................................................................................ 54
3.2 Search .......................................................................................................................................... 67
3.3 Dashboard and Reporting ........................................................................................................... 69
4 Questionnaire ..................................................................................................................................... 70
4.1 Settings ........................................................................................................................................ 70
4.1.1 Templates. ............................................................................................................................ 71
4.1.2 Approvers. ............................................................................................................................ 84
4.1.3 Emails. ................................................................................................................................. 85
4.2 Analysis....................................................................................................................................... 90
4.3 Search .......................................................................................................................................... 92
4.4 Dashboard and Reporting ........................................................................................................... 94
5 Remediation ....................................................................................................................................... 95
5.1 Settings ........................................................................................................................................ 95
5.3 Search ........................................................................................................................................ 107
5.4 Dashboard and Reporting ......................................................................................................... 109
6 Gifts, Travel and Entertainment (GTE) ........................................................................................... 110
6.1 Settings ...................................................................................................................................... 110
6.3 Search ........................................................................................................................................ 138
6.4 Dashboard and Reporting ......................................................................................................... 140
7 Certifications .................................................................................................................................... 141
7.1 Settings ...................................................................................................................................... 141
7.1.1. Certifications ..................................................................................................................... 142
7.1.2 Approvers. .......................................................................................................................... 146
7.3 Search ........................................................................................................................................ 151
7.4 Dashboard and Reporting ......................................................................................................... 152
8 Conflicts of Interest .......................................................................................................................... 154
8.1 Settings ...................................................................................................................................... 154
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8.1.1 Templates ............................................................................................................................... 155
8.1.2 Approvers. .......................................................................................................................... 164
8.1.3 Emails. ............................................................................................................................... 165
8.2 Analysis..................................................................................................................................... 170
8.3 Search ........................................................................................................................................ 171
8.4 Dashboard and Reporting ......................................................................................................... 173
9 Third Party ....................................................................................................................................... 174
9.1 Settings ...................................................................................................................................... 174
9.2 Location of Third Parties (Distribution Map) ........................................................................... 184
9.3 Search ........................................................................................................................................ 186
9.4 Dashboard and Reporting ......................................................................................................... 188
Your Red Flag Group Contacts ........................................................................................................... 189

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1. Logging into ComplianceDesktop
®
1.1 ComplianceDesktop® Landing Page

To begin using ComplianceDesktop® site, open your web browser and go to:

https://companyname.compliancedesktop.com/

1.2 Requesting a New Password
A new password may be requested by clicking on the ‘Forgot Password?’ link on the homepage.

Then, enter your email address and authorisation code.

An automated email will be sent to a user with new password reset instructions.
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1.3 Requesting a New Login ID
A new login id may be requested by clicking on the ‘Forgot Password?’ link on the homepage.

Then enter your email address and authorisation code.

2. Compliance Desktop Core
By clicking on the platform settings highlighted below, you can manage/add user accounts and
change the settings of your ComplianceDesktop® platform for all users.

2.1 User Management:

By clicking on the settings highlighted below, you can manage/add user accounts and change the
settings and create reports on your ComplianceDesktop® platform for all users.

User Information Fields

This is the list of all fields that you will find when working with user creation or editing.

Field (Mandatory fields are marked
Description
with an asterisk)
 Cannot be changed after creation
 Assigned by the administrator (who has the
Login ID* ComplianceDesktop® administrator role)
 Will not accept duplicates
 Email address convention is preferred
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Email Address* Should be unique
First Name
Middle Name
Last Name
Employee ID Each user can have more than one ID
Title
 Internal – within same company group
User Category*
 External – third party member
 Name of organization
 Will not accept duplicates
Organization*  System will pick from existing organization
 If a new organization is being entered, system will create
a new organization based on the information entered
Automatic field based on the information saved in the
Organization Type
system for that organization
 User Name of the supervisor
 Each user can have more than one supervisors
Supervisor
 The User Name needs to match a current user within the
system
 Administrators and Super Users will be able to assign user
CD Tools Role(s)*
roles
 Cannot be changed by user
 Assign special user groups to the user
CD Group(s)*
 Every user should be assigned to ComplianceDesktop®
User group
Region
Country The country list will be based on the region you specify
State (US Only) Only available when the country chosen is “United States”
City The city list will be based on the country you specify
The list will be based on the departments defined on the
Department
system
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Address
Zip Code
Tel / Fax
Preferred Display Language* English by default
Time Zone*

Adding New Users to ComplianceDesktop®

Step 1: On the side-bar of your ComplianceDesktop screen, you will find a set of menu options.
Please highlight and click Platform Settings, as shown below:

Step 2: Next, click on User Management.

Step 3: Then, highlight and select Add User.
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Step 4: Finally, complete the mandatory user details (these are highlighted with a red asterisk (*)
and assign your new user to an existing organisation (or Add New Organization). Also remember to
add your new user’s contact information, region, country, division, and department.

Step 5: It is important to select the most appropriate user account access right settings for each
user.

Here you select which access rights the user will have. Only User, Super User and Admin are
applicable. All users (including third parties) must have a minimum of ‘user’ access rights to
ComplianceDesktop to access the tool.

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Step 6: Next you select which rights users should have to each module. You are not required to
designate all Applications to a user, only apply those that are applicable.

CD Groups: These groups adjust the privileges to the user roles in accordance with your user role
matrix. These should be selected in addition to the user roles for each module.
NB. The user role for each module must correspond to the matrix for the CD Group to function.

There are 4 specific roles for ComplianceDesktop®, these are: Admin
o Enables users to view, edit and add organizations, users, and grant/restrict privileges
etc. Admin user privileges can access and edit any part of the company’s workflow
structure. This type of access is recommended for an organization’s compliance
teams/compliance champions.
 Super user
o Enables users to also view and add organisations at the same as them, send and
approve questionnaires. However this dependant on the workflow set up in the
system. Super Users do not have access to any of the admin functions within
ComplianceDesktop®. This type of access is recommended for most other functions
within a business e.g. Business Development.
 User
o Enables users to fill in and sign questionnaires that have been assigned to them by a
company. This type of access is recommended for a company’s third party suppliers,
distributor, agents etc.
 Guest

Using Batch Upload to add new users ComplianceDesktop®

In addition to adding individual users, to ComplianceDesktop® also offers the functionality to allow
you to upload a number of users at once by using the batch upload function to add users.
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Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Upload
Users, as shown below:

Step 1: Download the template and save it to your computer.

N.B. All mandatory fields are noted accordingly within the excel template.

Only complete the ‘Upload User’ Tab but please note that when adding division, department, region,
country, organization, they must correspond exactly to the spelling text on the other tabs.

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