KPMG's Issue Management System (KIM) is used by the Global Risk Monitoring Group to record and manage findings and deficiencies that are identified during reviews performed of member firms under various programs.
Findings are logged and allocated to finding owners who then record remedial actions aimed at resolving the finding. Where necessary, findings may be grouped to form a Deficiency and, similarly, a deficiency owner will be identified. Appropriate reports and alerts are produced by the system to ensure that all findings and deficiencies are tracked, monitored and reported (to Regional and GQRM leadership) until resolution - with historical reporting available to key role players.
The topics in this section guide users in working with KIM on readyplatform
When a finding is raised by a review team and assigned to you, you will receive an email alert from the webapp. To access the finding, simply click the link in that email once you have logged in to the system. All findings assigned to you are summarised on your personal dashboard so you can go there to get a full list of everything that has been assigned to you.
You are responsible for ensuring that all appropriate actions are taken against findings assigned to you until they are either withdrawn or marked as “Resolved” by the review team.
When a finding owner adds remedial actions designed to address their findings, they may allocate ownership of one or more of the remedial actions to you. When this happens, you will receive an email alert from the system and you can access the relevant remedial action directly from the email once you are logged in. You can also find all remedial actions assigned to you on your dashboard.
You are responsible for ensuring that all remedial actions assigned to you are actioned and marked as “Addressed”
When a remedial action owner adds you to the team to help them address the remedial action, you will receive an email alert from the system and you can access the relevant remedial action directly from the email once you are logged in. You can also find all remedial actions where you are a member of the remedial action team from your dashboard.
The guidance provided in this section applies whether you are a review team leader or have been added to the review team. You will only have access to a review where you have a specific role to play in that review. Note that only members of a program team or an administrator can create new reviews.
All members of a review team are able to add and work with findings, remedial actions and deficiencies within that review.
The guidance provided in this section applies whether you are a program team leader or have been added to the program team. You will only have access to a program where you have a specific role to play in that program. Note that you can also perform all the actions described for review teams for any review within your program(s).
All members of a program team are able to add and work with reviews (as well as all the findings, remedial actions and deficiencies within those reviews).
Note: Only an administrator can create a new program
The guidance provided in this section sets out specific actions that can only be performed by administrators in the configuration panel. In addition to the guidance set out below, administrators can also create programs, reviews, findings and deficiencies .. and can access reports for all of the above. For guidance on these matters, please refer to the relevant section above.