There are two types of data held within the Risk & Compliance system. The first type is ‘record data’, as in data that is entered into the various modules of the system such as complaint information. The second is 'user data' (typically staff members of the client’s organization).
Erasing Record DataData entered into the Risk & Compliance system is held within individual records in each respective module. For example, complaint records are found within the ‘Complaints’ module. You can find an overview of how to locate records within the system in our Right to Access article found here.
In the example below Jane Doe, our example Master User user, has opened a complaint for our firm that we need to erase (note that all of the names and data in this record is an example only). After locating and opening the record, Jane will arrive at a summary screen with an orange 'Actions' button towards the end of the complaint's summary information that has been highlighted in blue in this screenshot:
Clicking the 'Actions' button will reveal to Jane the available options for record including the option to delete it from the system. Jane is a Master User for the firm, and note that only users with Master User access will see the delete option:
After clicking the 'Delete' option from the list Jane will receive a prompt as per the screenshot below:
This is a confirmation step to confirm that Jane is happy to proceed with deleting the record. After clicking 'Accept' the record will be deleted from the system and will no longer be displayed either in the system or the report exports.
If Jane had clicked 'Delete' by mistake, there is the option to click 'Cancel' to go back a step and avoid deleting the record.
Erasing User Data
Every user within the Risk & Compliance system has a unique account. When creating these accounts, the users first name, last name and email address are recorded into the system’s user table. To access this area, a user must first have Master User access and for this example we'll continue to follow fictitious user Jane Doe. Jane has already accessed her organisations user table and located the user she wants to delete (you can find a guide on how to access and search this area here):
In this example, Jane is planning to delete use user Michael Roberts. Having located the user Jane will see a red 'delete button button next to the users name (highlighted in blue in the screenshot below):
After clicking the Delete button, Jane is taken to the Disable/Delete User window for Michael Roberts' account. The system will display any tasks currently allocated to Michael, in this case a single Undertaking, which can be re-allocated to another user via the 'reassign' button next to the task (highlighted in blue below):
Note that it is important to reassign any tasks prior to deleting the user to avoid any potential loss of data. In the event that the user has no tasks, none would be displayed on this page. Having completed this step, Jane will need to check each of the 4 declarations at the foot of the page (the second area highlighted in blue in the screenshot). These are important as the roles of COLP, COFA and MLRO are specifically identified in another area of the firm administrative settings which would need updating before deleting the user. In this case, Michael holds none of these roles and as such Jane may proceed. After checking these options, Jane clicks the red 'Delete User' button at which point Michael's account is deleted.
Note that it is only in the event you need to delete a user we would recommend this course of action. If you are looking to prevent someone accessing the system, but want to preserve their historical records (such as in the event of someone leaving the organisation) you can instead Disable the user. A disabled user cannot access the system or be allocated any tasks, however their historical data remains in tact. A deleted user is removed from the system entirely and their name will no longer appear in any records they were previously connected to.
We hope you found this guide on erasing record and user data helpful. Should you have any questions or need any additional support with updating and editing data within the system please contact the team at email@example.com.