Sending an Information Request to the Company

The agency point of contact for complaints or the complaint manager assigned to the complaint can send the information requests to the company.

About this task

Note: The agency POC and users with the Complaint Manager role can send information requests to the subject of a complaint.

The Agency POC is responsible for managing the complaint from start to finish. SES automatically assigns the Agency POC role to the user who enters a complaint into the system unless the complaint is sent for preliminary review. In that case, the person conducting the preliminary review has the option to select an Agency POC for the complaint.

The Complaints Company POC is the individual responsible for sending complaint IR responses to the agency. This person can also review and update responses drafted by other complaints users.

The Company Complaints Contact is the user who received the initial notification of a new Complaint in SES and is responsible for managing the Company POC assigned to the Complaint.

Procedure

  1. Navigate to the complaint.
    The list of all open complaints
  2. Click Send Information Requests.
    Send Complaints IRs to Company
    Note: The agency POC and users with the Complaint Manager role can send information requests to the subject of a complaint.
  3. Enter a Bulk Due Date.
    Update the due dates for Information Requestsi in bulk
    Note: All information requests are selected by default. Deselect an information request by clicking anywhere on the row. The bulk due date will be applied to all information requests that do not have a due date set. Update an individual due date by clicking on the due date link.
  4. Click Click here to Validate the selected Information Requests.
    Validate the Information Requests
    Note: This step validates the due dates entered for the IRs you selected to send to the company are in the future.
  5. Complete the form for sending an IR.
    • Commentary: Type any comments for the company.
    • Upload Documents: Select documents that you want to send to the company.
    • File Sharing Link: Optional. Only use this field to provide a file sharing link for responses that may require an external file sharing solution (i.e., those that exceed 1GB in size). All other responses should be submitted through the system.
    • Response Notification: Choose whether to receive a notification when the company responds to the IR. If you select Yes, you can select who in addition to the Agency POC and Complaints Supervisors receives the notification.
    Note: The initial set of IRs accompany the complaint when it is first sent to the company. The documents uploaded at this stage of the information request process are expected to be introductory documents that might help to explain the information request. Do not upload specific forms to be completed here.
  6. Enter an optional response file sharing link.
    This allows the company to provide responses that may require an external file sharing solution (i.e, those that exceed 1GB in size).
    IR Response File Sharing Link
  7. Click Send Information Requests.
    Send Information Requests
    Note: This is the first communication with the company. We recommend using similar language that would normally be used in a welcome email to the company here.
    Note: The IRs added to a complaint or a supervisory activity can be sent to the company even if the company has not yet completed enrollment in SES. When you send the information requests, you can click Company User Enrollment to create a new user account or send a reminder for the company to finish enrollment. The company is not able to view the details of an IR or submit responses until company enrollment is complete.
    Company User Enrollment
  8. Click Confirm.
    Note: Only when all IRs are sent to the company does the status change to Sent to Company. Sending all IRs is not required.
    Display showing status as "Sent to Company" once all IRs are sent
    Note: You can send a reminder to all company participants for all outstanding information requests in the Information Request Reminders section on the Information Requests page.
    Send a reminder to the company about outstanding IRs