6.2.3 Taking Resolution Action

This section explains how to take resolution action on the selected case or cases. Supervisor approval provides a dual control or approval process that requires an authorized user (for example, a Supervisor) to approve actions of other users, prior to those actions taking full effect on the case (for example, closing the case). This process also enables users of specified roles to acknowledge approved or rejected changes proposed and to annotate an acknowledgment with comments.

Recommending a Case for resolution - if you are an Analyst user and perform the resolution action on a non-closed case, the case moves to the Recommend Closure status, where you need to assign to a supervisor for approval. The supervisor can approve or reject the recommendation. If approved, the case is closed and if rejected, the case is pushed back to the old status without closing. If you are a Supervisor user and perform the resolution action on a non-closed case, the case is directly closed without requiring additional approval.

Note:

  • When a Resolution action is performed and the case is moved to the Closed status, the existing due date of the case is cleared by the system.
  • When a Resolution action is performed and the case is moved to the Closed status, the associated suppression requests workflow will be initiated and will be available in the Suppression Administration page.

To take resolution action, follow these steps:

  1. Navigate to Take Action window.
  2. Go to the Resolution section.
  3. Select No SAR Filed- Closed or Close and generate SAR.
  4. Enter comments. For more information, see the Adding Evidence section.

    Note:

    Entering comments is mandatory. If you do not enter comments, a warning message displays, indicating that some mandatory values are missing. Attaching documents is optional.

    Optional: assign user or group of users or set case owner.

    Optional: set due date for the case, for more information, see Setting Due Date and Time.

  5. Click Save. The application records the action, updates the case information, and navigates you to the refreshed Case List page or Case Summary page based on from where you took the action.
    For more information on the Compliance Regulatory Reporting (CRR) documents, see CRR Documentation Library.