Daily Operations

User Manual / Daily Operations

Daily Operations

The routine tasks for each of the twelve areas — written as “to do X, do this.” Start your day on the Overview dashboard, then work whichever areas need attention. The software records and progresses your program; it never makes a compliance decision for you.

Start on the Overview dashboard

Open Compliance → Overview first. It is read-only and shows where to spend your time:

• KPIs — open cases, SLA-at-risk items, policy-attestation percentage, and required-training percentage.
• Compliance-health score with per-metric bars so you can see which area is dragging the score down.
• Action center — the items that need someone to act (approvals pending, overdue obligations, cases at risk).
• Quick links into each area screen.

Disciplinary cases

To open a case:

1. Open Compliance → Disciplinary and choose Add Entry.
2. Set the date occurred, pick one or more subjects, add witnesses / participants, and select a category.
3. Optionally choose compliance officers (assessors); if left blank, the category's default officers are used.
4. Write the description, attach supporting files, and save. Participants are notified and an opening comment is recorded.

To progress a case: open it to see the threaded activity feed. Authorized users add comments (optionally with attachments or prefab/canned comments); required parties acknowledge. A case moves New → Open → On Hold → Closed. It closes when everyone required has acknowledged, when a manager with the Manage permission closes it, or automatically via the auto-close job. You cannot change the status of a case where you are a subject or witness.

To manage categories: on the Categories tab, maintain each category's title, description, recommended action, and default compliance officers. A category cannot be deleted while cases reference it.

Investigations

To run an investigation:

1. Open Compliance → Investigations and create a record; optionally link it to a disciplinary case.
2. Work it across the phase kanban: Planning → Interviews → Evidence review → Findings review → Closed.
3. Drag the card (or update the phase) as fact-finding advances; keep the linked case in step so both stay consistent.

Keep investigations neutral and independent — the phases separate planning and interviews from findings so the record shows a defensible process.

Corrective actions

To drive a corrective action to closure:

1. Open Compliance → Corrective Actions and add a remediation item to the register.
2. Add its milestones and owners, and track them to completion.
3. Before closing, complete the effectiveness verification so the record shows the fix actually worked — not just that a task was ticked.

Disclosures

To review a disclosure:

1. Open Compliance → Disclosures. Entries are typed as conflict of interest, gift / hospitality, outside employment, or workplace relationship.
2. Set the risk (high / medium / low) and move it through the workflow: review → manager input → legal review → mitigation → closed.
3. Record the mitigation before closing so the decision and its safeguards are documented.

Speak-up & grievances

To triage a report:

1. Open Compliance → Speak-up & Grievances. Intake is anonymous-capable, so a report may have no named reporter.
2. Note the channel it arrived through — hotline, web portal, HR portal, or manager.
3. Progress the report and, where warranted, link it to an investigation or corrective action. This area is restricted — only grant its permission to trusted intake staff.

Training & certifications

To assign training:

1. Open Compliance → Training & Certifications and add a course to the catalog (or pick an existing one).
2. Create per-employee assignments for the target group.
3. Track completion against each assignment; the required-training percentage on the Overview dashboard reflects your progress.

Policies & attestations

To publish a policy and collect attestations:

1. Open Compliance → Policies & Attestations. On the Policies tab, add or update the policy.
2. On the Attestation campaigns tab, launch a campaign asking the relevant population to attest to the policy; the policy-attestation percentage on Overview tracks uptake.
3. On the Policy exceptions tab, record any approved exception (who, why, and for how long) so deviations are visible and time-boxed.

Compliance calendar

To add and track an obligation:

1. Open Compliance → Compliance Calendar to see the month grid of obligations.
2. Add an obligation and set its type (case, training, policy, or governance).
3. Watch its status move through on track → at risk → overdue, or approval pending → done. Overdue and at-risk items surface on the Overview action center.

Reports & analytics

To read the analytics: open Compliance → Reports & Analytics. It combines saved report definitions with charts:

• Case-volume trend — how case counts move over time.
• Outcome mix — the distribution of case outcomes.
• Category concentration — which categories drive the most activity.
• KPI stats — the headline numbers behind the Overview score.

Save a report definition to return to the same view later, and use the charts to brief leadership on trends rather than individual cases.

Audit log

To verify what happened: open Compliance → Audit Log. It is a read-only, append-only feed of every create, update, and delete across the areas, with an integrity panel. Use it to answer “who changed this, and when” — you cannot edit or delete entries here.