Search via filters
A number of search filters is available for narrowing the stakeholder list. By default and upon opening the stakeholder screen, all stakeholders are shown in alphanumerical order of the code.
The user can also define if he wants a list view or a table view. Free search is available.
Further filters allow via either drop down or radio button to apply additional filtering.
Stakeholder creation
Stakeholders can be imported or created manually. Different roles of stakeholders exist. The manual creation of a stakeholder starts with the create button:
If the FSO instance is set up for multiple fund promoters, the user selects to which fund promoter the stakeholder refers to, followed by the code and name to be used for the stakeholder.
Within the 2nd onboarding step the user can either import a due diligence contact from an existing contact via the relevant dropdown box or define the name and email address of the Diligence contact. This information will be used to define for example the recipient of the questionnaire.
In step 3, the start date of the risk monitoring process as well as the Role of the stakeholder are defined. The role is important with regards to the workflow. Per role dedicated workflows are available.
In Step 4 the user can see the summary of the information entered and save or discard the stakeholder creation. For correction of entries the ‘previous step’ is available.
Upon saving the data, the details page for the stakeholder role will be displayed. Every role may have different detail pages and tabs configured. FSO comes along with default tabs and fields. These can be enhanced by the user via the configuration menu.
In the details you can see red underlined the tabs available for the role. The open tab is always blue underlined. If a risk rating is available, it is visible in the green underlined area. The pink underlined section shows the role defined upon creation.
Each of the tabs may have one or multiple screen sections. These are available on the left side of the screen : Here the Data tab with section reference for easy navigation within the tab.
Adding a workflow to a stakeholder
Within the workflow tab, which exists for every role, the user can decide which of the existing workflows available should be applied to this stakeholder. There can be more than one workflow. That would be the case if the workflow for initial onboarding is for example different from the ongoing DD review.
To add a workflow the user can start by pressing the Button ‘add workflow’.
The user can then select one of the available workflows from the dropdown menu and define a start date for that workflow.
Via ‘Add’ the workflow is added to the stakeholder
Multiple workflow with same or different start dates can be added to the stakeholder.
The workflow tab itself has underlying tabs. These tabs show the status of the workflows attached to the stakeholder.
Take action within a workflow
If no start date has been defined for a workflow or the workflow is upcoming, the user can kick off the workflow via the Start now button
Within the workflow. Tasks lists are provided. Tasks can be kicked off via the symbols in the action column :
A mouseover on the icon will show details about the action
Monitor workflow progress
The Number of open tasks is indicated in the workflow header:
The status bar indicates progress for each of the underlying tasks :
Tasks do not necessarily have to follow in order. It is possible to kick off multiple tasks of a workflow at the same time and close one step whilst a previous step is still open. When there is however a dependency of a following task, FSO will indicate that no further progress is possible whilst a review of for example screening results is still open. In this case the information icon is shown and the mouse over will show below message.
When for any of the scheduled tasks of a workflow the date is overdue, the workflow name turns into red and is flagged as ‘overdue’.
The start date of the workflow refers to the first task scheduled. The Due Date refers to the due date of the last task within a workflow.
Close date is filled when the workflow has been completed and closed. Closing a task is via close in the Actions column.
As part of the workflow it might be required to upload documents. This is visible in the ‘Action’ column via the upload symbol
The user can then browse to locate the files to be uploaded and save them. The file format can be a word, excel or pdf
Audit trail for workflows
Audit trails for each action taken by a user within the workflow are available via the 3 dot options:
Selecting Audit Trails will trigger the download of the audit report for the selected workflow The audit trail is presented in excel format and will list the action per user and date.
Documents checklist
The documents checklist will list all potential documents might be required during a workflow
The status will indicate if the relevant document has been received or not . If a document has been requested in the workflow the ‘requested date’ will be displayed. If a document has been received it is available via the 3 dot option:
If the document has been received outside of the workflow the user can upload via the upload document option.
If a document type needs top be added to the documents list, the user can ‘Add New Document’ via such button.
A screen is then presented which enabled to provide the document properties.
Once filled in and saved, the document type is added to the library.
KPI’s
If KPI’s have been configured and are part of the workflow for the stakeholder, the tab KPI’s will show thw KPI’s available together with the Red/Amber/Green rating.