Compliance
The Compliance suite runs your whole compliance program inside ERPat — an Overview dashboard plus twelve operating areas: disciplinary cases, investigations, corrective actions, disclosures, speak-up & grievances, training & certifications, policies & attestations, a compliance calendar, reports & analytics, an immutable audit log, and configuration. The disciplinary area was extracted from ERPat core into this self-contained package; the ten additional areas were built natively on the ERPat architecture.
What This Module Is For
Compliance gives HR and employee-relations staff one auditable place to record and progress disciplinary matters — instead of email threads and spreadsheets. The software never makes a disciplinary decision; it helps authorized people follow an approved process, document facts and rationale, and keep a defensible record.
Module at a Glance
Where users usually start
- Compliance → Overview (dashboard)
- Compliance → any area (Disciplinary, Investigations, …)
- A team member profile → Disciplinary tab
Primary user groups
- Compliance / GRC officers and program owners
- HR administrators and employee-relations partners
- Investigators, policy owners, and training admins
- Line managers and employees named on a record
Documentation Map
Getting Started
Enable the module, grant access, seed categories, and prepare starter data.
Daily Operations
Create and progress cases, comment/acknowledge, change statuses, and manage categories and labels.
Administration and Controls
Permissions, the settings tab, the auto-close job, routes, APIs, and audit logging.
Data and Screen Reference
Controllers, routes, views, models, tables, seeders, cron, and API endpoints.
Module Research Notes
The live module files inspected and the capability evidence found.
FAQ and Troubleshooting
When the menu, permissions, settings, cron, or APIs do not behave as expected.
The Twelve Areas
The full Compliance vision documented in specs/implementation-compliance-module/ is now implemented. Each area is its own left-menu item, permission-gated independently.
Overview
Cross-area KPIs, a compliance-health score, an action center, and quick links.
Disciplinary
Case register, categories, participants, acknowledgements, statuses, auto-close.
Investigations
Neutral fact-finding with a phase kanban and independence checks.
Corrective Actions
Remediation register with milestones and effectiveness verification.
Disclosures
Conflicts, gifts, outside employment, and relationships with a review workflow.
Speak-up & Grievances
Anonymous-capable intake with channel tracking.
Training & Certifications
Course catalog and per-employee assignment completion.
Policies & Attestations
Policy library, attestation campaigns, and exceptions.
Compliance Calendar
Month-grid obligations for cases, training, policy, and governance.
Reports & Analytics
Saved reports plus privacy-preserving charts.
Audit Log
Read-only, append-only activity with an integrity panel.
Configuration
Jurisdictions, templates, retention rules, and integrations (admin).