COI Supervisor Summary Overview

 

Supervisors, Super Users, and Delegates have the Supervisor Summary Tab Header available to them.  When a Supervisor clicks on this tab, the search grid will be populated with all of the people within their reporting hierarchy.  It will include all of his or her direct reports and all of the direct reports of his or her direct reports and so on down the tree.  The Supervisor who only wants to see his / her direct reports can do so by checking the ‘Direct Reports Only’ box.  Similarly, the Supervisor who has multiple Supervisors in his/her hierarchy can search by Supervisor Last Name in order to see only the direct reports of that particular supervisor. (Additionally, clicking the Supervisor column heading would sort by Supervisors, grouping direct reports of a particular supervisor together.

 

When a Super User clicks on this tab, the search grid will be blank and the Super User can enter search criteria to get the desired results.

 

When a Delegate clicks on this tab, the search grid will be blank.  The Delegate must click ‘find supervisors’, which will populate the drop down list with only the supervisors the delegate has access to.  Then the Delegate must select the Supervisor from the list and click ‘impersonate’.  At that point, the people in the selected Supervisor’s hierarchy will appear in the grid.

 

The search fields allow the Supervisor, Super User, or Delegate to filter the list by Last Name, First Name, User Name, Status, Policy Question, Nothing to Disclose, All (include inactive), Direct Reports Only, Supervisor Last Name, and Supervisor First Name. 

 

All information displayed on this page is read only and, therefore, cannot be modified.  The following columns appear in the search results grid; Review Checkbox, Name, Supervisor, Policy Question, Outside Activity, Equity Interest, Family Interest, Intellectual Property, Other Activity,  Last Submitted, Date Reviewed, Status, Notes, and Notify.  All columns, except Review, Notes, and Notify can be sorted by clicking on the column header title link.  The arrow indicates the screen is sorted to that column in either ascending or descending order.  The default sort order of the data is ascending Name (Last Name, First Name).  The Name is a link which, if selected, navigates the user to the MY COI page.

 

The page displays 20 records per page.  If a user has access to more than 20 records, the paging links located at the top right or bottom right of the grid (First Page | Previous Page | Next Page | Last Page) will allow the user to scroll through all records.

 

The information that appears in the grid can be downloaded by clicking on the ‘Download to Excel’ link or the ‘Download to PDF’ link located on the title bar that appears just above the grid.

 

At the bottom right of the grid, just below the (First Page | Previous Page | Next Page | Last Page), there are the following buttons:

 

 

 

 

 

 

Supervisor Summary Screenshot for Supervisor

Main Screen Elements

 

Column Name

Description

Search Elements

 

Last Name

Last Name

First Name

First Name

User Name

Partners Logon ID

Status

  • Start:  The user has not yet started the COI

  • In Progress:  User has been notified and is in the process of completing the COI forms. 

  • Submitted:  The user has completed and submitted the COI for review.

  • Reviewed:  The COI has been reviewed and signed off by the Supervisor.

  • Terminated: An Individual COI has been terminated.

Policy Question

Searching on this field brings back all individuals who have COI’s with an asterisk in the Policy Question which indicates heightened concern due to any of the following:

  • An individual has fiduciary obligations to an outside company or organization (e.g., serving on the Board of Directors)

  • An individual is receiving compensation in excess of $30,000 cash per year from an Outside Entity, equity compensation (including stock options) is valued at more than $30,000, a combination of cash and equity in excess of $30,000, or whose equity holdings consists of more than 1% of the total equity compensation for that outside organization.

  • An individual has multiple written or oral agreements to provide consulting or other services to Outside Entities.

  • An individual is providing consulting services to an investment or financial corporation.

  • An individual indicated that he or she spent more than 52 days on a single outside activity

Nothing to Disclose

Individuals who reported no Outside Activities, no Equity Interests, no Family Equity Interests and no Intellectual Property

All (include inactive)

Clicking this box would include inactive individuals within the reporting tree also.  For example:

  • individuals who reported to the Supervisor at one time, but who now report to someone else

  • individuals who have left the company

Grid Elements

 

Review Page

Checking the Review Page box will check all the available boxes on that page.  Boxes can also be individually checked.  These boxes go along with the ‘reviewed selected’ button.

Name

Name of the Individual

Supervisor

Individual’s immediate Supervisor who reviews their COI

Policy Question

An Asterisk in this field indicates heightened concern due to any of the following:

  • An individual has fiduciary obligations to an outside company or organization (e.g., serving on the Board of Directors)

  • An individual is receiving compensation in excess of $30,000 cash per year from an Outside Entity, equity compensation (including stock options) is valued at more than $30,000, a combination of cash and equity in excess of $30,000, or whose equity holdings consists of more than 1% of the total equity compensation for that outside organization

  • An individual has multiple written or oral agreements to provide consulting or other services to Outside Entities

  • An individual is providing consulting services to an investment or financial corporation

  • An individual indicated that he or she spent more than 52 days on a single outside activity

Outside Activity

Y (Yes) or N (No) depending upon how the individual answered the questions on the COI disclosure

Equity Interest

Y (Yes) or N (No) depending upon how the individual answered the questions on the COI disclosure

Family Interest

Y (Yes) or N (No) depending upon how the individual answered the questions on the COI disclosure

IP Payment

Y (Yes) or N (No) depending upon how the individual answered the questions on the COI disclosure

Other Activity

Indicates whether the individual is associated with any Agreements or Protocols within Insight

Last Submitted

Date the individual last submitted the COI

Date Reviewed

Date the Supervisor reviewed the submitted COI

Status

  • Start:  The user has not yet started the COI

  • In Progress:  User has been notified and is in the process of completing the COI forms. 

  • Submitted:  The user has completed and submitted the COI for review.

  • Reviewed:  The COI has been reviewed and signed off by the Supervisor.

  • Terminated: An Individual COI has been terminated.

Notes

Allows the Supervisor, Delegate or Super User to Add a new note or to View any notes added by another Supervisor, Delegate or Super User

Notify

Allows the Supervisor or Super User to Notify the individual via e-mail to complete the COI

 

Supervisor Summary for a Super User

When a Super User clicks on the Supervisor Summary Tab Header, he or she will see a slightly different page than the Supervisor.  The default search results will be blank and the Super User will have the ability to find and impersonate Supervisors.

 

The Super User will have access to see any individual within the Conflict of Interest system and can use the search criteria to select individuals.  The Super User also has the ability to click the ‘Find Supervisors’ button.  Clicking this button will populate an alphabetical list of COI Supervisors in the drop-down menu.  The Super User can then select a Supervisor and click ‘Impersonate’ to view those individuals within that Supervisor’s grid.  However, the Super User will not have access to the Review button.  Only a Supervisor and a Supervisor’s Delegate have the ability to review COI’s.

 

Supervisor Summary Screenshot for a Super User

 

Screenshot for a Super User Impersonating a Supervisor

 

Selecting Detail Report button produces the following Report: