Resolving or Investigating Escalations Further

Summary

This article outlines the final steps in handling an escalation, detailing how to choose between resolving the issue or investigating it further.

When to Use This

Use this guidance after you have completed your initial risk review and documented your rationale, and you are ready to make a decision on the escalation.

Step-by-Step Instructions

1. Ensure your rationale and notes are fully documented in the review text field.
2. Review your two available options for proceeding:
   • Resolve: Click this button if you are comfortable with the onboarding and the risks have been mitigated.
   • Investigate Further: Select this option if you need more information or need to add supporting documents.
3. If necessary, attach any additional supporting documents to back up your decision.
4. Finalise your choice to log the decision and tie your rationale to the escalation record.

Common Questions

What happens after I click Resolve? The escalation is marked as reviewed by the Compliance Officer, and the process can proceed with your rationale permanently attached to the record.

Troubleshooting Tips

Need to add more information after making a decision? It is best to ensure all documentation and supporting files are added during the "Investigate Further" phase, as resolving the escalation will close the review process.