The system contains a variety of modules covering different elements of risk and compliance. Within each of these modules there are commonly captured pieces of data such as client name, matter reference.
Accessing Record Data
Data entered into the Risk & Compliance system is held in individual records within specific system modules, for example Complaints entered will be individual records within the Complaints module. When addressing a right of access, typically you will be searching across the whole system for any record including the data subject.
In this example we will follow Jane Doe, a Master User for her organisation who is searching for any records relating to the client Joe Bloggs. An important consideration is that the user (in this case, Jane) must have supervisor rights to a module in order to search all of the records within. You can find more detail on user access here. For the purposes of this example Jane has supervisory rights for all of the system modules used by her organisation and after logging in Jane will arrive at the follow home screen:
The field highlighted in blue at the top of the page is the 'Advanced Search' feature. This will allow Jane to search across the system for any records relating to Joe Bloggs. To do this, Jane clicks on the magnifying glass icon and types in 'Joe Bloggs' and click enter.
This takes Jane through to the Advanced Search window. In this window Jane has options to define a date range for her search (based on when the records may have been created) and which modules she wants to search:
Jane updates the dates so that the start date is '01/01/2012', this aligns with when her organisation first set up the Risk & Compliance system and as such aligns with the oldest records they have in the system. Jane then checks the 'All' option so that every module will be searched. Finally, Jane clicked the 'search' button on the top right hand side where Joe Bloggs' name is listed and the system returns any records that match this criteria:
As seen in the screenshot above, Joe Bloggs is mentioned in two records in Jane's system (1 Complaint and 1 Undertaking). From here Jane is able to view these records by clicking the green 'View' button next to the relevant record (note that you can open a record in another window without losing your search data by right clicking on view and selecting 'open in new tab').
The Advanced Search feature used by Jane can be used to search system records for any mention of:
- Client Name
- File/Matter Reference Number
- Fee Earner
Accessing User Data
When managing an access request relating to a user, it is likely you will need to access their user account from the administrative panel of the system. In order to do this your user must be a Master User.
In this example we'll follow Jane Doe, our example Master User, who is looking to locate the user of her colleague Michael Roberts. Jane has logged into the Risk & Compliance system and will arrive at the home screen:
On the top right side of the screen (highlighted in blue in the above screenshot) is Jane's name. By clicking on this, Jane will see a number of options including 'Account Settings' which only displays to those with Master Users access:
Clicking 'Account Settings' will take Jane through to the administrative area of the Risk & Compliance system. This is the hub in which Master Users can update the various users, settings and controls in place for their organisation. The Account Settings page initially loads up on the 'Firm Details' tab with a navigation list on the left hand side. By selecting 'Firm Users' from this navigation list, Jane will be taken through to her organisations user list:
Whilst in the user table Jane can locate Michael's account either by looking through the list of users (as can be seen, Michael's account is highlighted in the blue box). For a larger organisation it might be easier to search for the user instead of looking through the list, in which case Jane could type Michael's name into the search box on the top right hand side and click 'Search' - this will update the list of users to only show those who match the search criteria.
Both options allow Jane to locate Michael's account, and from here she is able to review his account and make any required changes. You can find more information on how to edit a user here, or how to delete a user here.
We hope you found this guide on accessing 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 firstname.lastname@example.org.