Governing bodies such as the Office of the Superintendent of Financial Institutions (OSFI) in Canada and the Office of the Comptroller of the Currency (OCC) in the U.S. require organizations to implement and adhere to policies and procedures in regards to how complaints, internal and external to the organization, are managed. Complaints should be managed in an orderly fashion and timely manner. Complaints that are not dealt with can pose a risk to the organization in many aspects. One of those aspects are mandated by the governing bodies to adhere to their guidelines. The other aspect is reputational risks for the organization. The governing bodies require organizations to support whistle blowers, report information regarding the complaints, how they are handled, and how long it takes to handle them. Therefore, customers need a way to track the complaints and report information to the regulators.
The RSA Archer Complaints Tracking offering helps organizations to minimize the risk of impact to an organization by tracking and monitoring complaints to ensure they are handled appropriately. It helps to ensure compliance against regulatory requirements and organizational policies and procedures through reporting complaints and issues that have not been addressed. With the RSA Archer Complaints Tracking app-pack, organizations can identify when complaints impact the organization and mitigate them to resolve the issues at hand.
In addition, the RSA Archer Complaints Tracking app-pack can be utilized with RSA Archer Speak Up to support whistle blower capabilities. The RSA Archer Speak Up app-pack allows organizations to submit ideas, report issues and document concerns regarding potential ethics violations, incidents, breaches, complaints or issues with employees or third parties and more. Regardless of whether the complaints are submitted anonymously, through RSA Archer Speak Up, the first line of defense can identify the nature of the request and forward it to the second line of defense to quickly address the complaint. However, if complaints are submitted anonymously, the submitter will not receive notification updates regarding the complaint.
RSA Archer Complaints Tracking app-pack enables organizations to:
- Document complaints internal and external to the organization
- Support whistle blower capabilities with RSA Archer Speak Up
- Conduct an investigation to determine impacts to the organization
- Document findings and determine a course of action for resolution
- Monitor and report complaint resolution and satisfaction for regulatory requirements
- Consistent and repeatable process for tracking and managing complaints
- Minimize customer and employee dissatisfaction in regards to handling complaints
- Compliance with corporate obligations and regulatory requirements around complaint management policy and procedures
This offering requires the RSA Archer Issues Management use case and the Business Unit application.
Supported Platform Version
RSA Archer Complaints Tracking was developed for and validated on RSA Archer Platform release 6.6.
RSA Archer On-Demand Application (ODA) Licenses
One (1) RSA Archer On-Demand Application (ODA) licenses are required for RSA Archer Complaints Tracking.
For More Information
To learn more about the RSA Archer Complaints Tracking app-pack:
- Watch a short demonstration video;
- Review the Implementation Guide; and
- Download the Installation Package.
For Additional Support
To learn more about this offering, please contact your Account Rep for additional details. For technical support questions regarding this offering, please open a support case or contact RSA Archer at firstname.lastname@example.org for more information.
RSA Archer Complaints Tracking
Complaint Owner Dashboard
RSA Archer Complaints Tracking
Complaint Reviewer Dashboard