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Summary


Once a risk assessment form has been configured, it can be added to any relevant case. It can then be completed internally, sent to a colleague, or sent directly to a client to complete.


A risk assessment (RA) is a questionnaire that produces a risk level for a case or client, based on your organisation's policy. If the form includes scoring, First AML calculates the risk level automatically once all scored questions are answered.


The risk level, and any manual overrides, are recorded automatically in the case Activity log.


Related: for reviewing and overriding a completed risk assessment, see [Reviewing and overriding a risk assessment].


Completing a risk assessment in a case


You can complete a risk assessment directly from within the case:

  1. Open the relevant case.
  2. Go to the Manifest tab, the tab that lists the requirements (tasks, such as forms or documents) needed to complete the case.
  3. Click Case Requirements, the section of the Manifest that lists requirements added at the case level, then click + Add and select the relevant form. Tip: you can set up a compliance rule to add forms automatically as Mandatory, Suggested, or Recommended. Setting a form as Recommended or Mandatory adds it to the Risk Assessment section of your cases automatically.
  4. Go to the Risk Assessment tab.
  5. Complete the form. You can add a comment to any individual answer, and progress saves automatically as you go.
  6. Click Save to capture a version of your response. You don't need to complete every required question to save; you can return to finish it later.
  7. If the form is a Case type form (previously called "Matter" type) and includes scoring, a risk level is calculated automatically once the form is completed. A score isn't calculated until every scored question has been answered, whether or not it's marked as required. You can manually override the calculated risk level if needed; see [Reviewing and overriding a risk assessment].


Required questions vs. scored questions


Required questions determine whether a risk assessment can be submitted. Scoring depends on every question being answered, whether or not it's required or scored.


For example, if a risk assessment has 5 questions, 4 marked required and 1 optional, a user must answer at least the 4 required questions to submit it. To get a score, they must answer all 5.


Retrieving a previous risk assessment


If you've already completed a risk assessment for this client, use Retrieve in the Risk Assessment tab to pull a previously completed risk assessment into the case, instead of starting from scratch. You can review and update the answers before saving a new version.

  1. Click Retrieve now.
  2. Enter the name or reference of the previous case, then press enter.
  3. Click the relevant previous case.
  4. Click Retrieve [form name].


Tips:

  • Retrieve always pulls the latest version of the risk assessment from the selected case.
  • You can only retrieve a risk assessment that uses the same version of the form. If the form's structure or questions have changed since it was completed, retrieval isn't possible.
  • You can retrieve a partially completed form. Even if the original wasn't marked complete, any answers that were filled in will carry over.


Sending a risk assessment to a team member


You can send a risk assessment to a colleague automatically, using an automation rule, or manually from a case.


Option 1: automatically, using an automation rule


Automation rules can route a risk assessment to a specific person on the case, such as the case lead or requester, as soon as a condition is met (for example, when the case is created).


To set this up:

  1. Go to Settings > Manifest > Automation Rules.
  2. Click Add Rule.
  3. Name your rule.
  4. Choose Automation Type: Send Risk Assessment.
  5. Select the relevant form type.
  6. Choose who to send it to: Case Lead, Case Requester, or Case Contact.
  7. Optional: add When or Except When conditions to tailor the rule, for example, "Except when CDD level is Simplified".
  8. Click Save.


Once the rule triggers on a case, the selected team member receives an email with a secure link to complete the risk assessment. When they submit it, your team is notified and the completed version appears in the case's Risk Assessment section automatically.


For the full list of automation types and how conditions work, see Customising automation rules.


Option 2: manually, from a case

  1. Open the relevant case.
  2. Go to the Manifest tab, click Case Requirements, then + Add the relevant form.
  3. Click Send Requirements from the quick actions panel.
  4. Select the requirements you want to send.
  5. In the Recipients field, choose a colleague from the dropdown.
  6. Click Send.


Once your colleague completes the form, you'll be notified, and the completed version will be visible in the Risk Assessment section.


Sending a risk assessment to a client


To send a risk assessment to a client for them to complete:

  1. Open the relevant case.
  2. Go to the Manifest tab, click Case Requirements, then + Add the relevant form.
  3. Click Send Requirements from the quick actions panel.
  4. Select the relevant requirements.
  5. In the Recipients field, enter your client's email address.
  6. Click Send.


Once your client completes the form, you'll be notified, and the completed form will appear in the case's Risk Assessment section.

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