Compliance Case – Overview

The Compliance Case module provides a structured framework to demonstrate, review, and document compliance within a project. It is designed to support systematic verification activities, clear role assignments, and traceable decision-making.

A Compliance Case typically combines predefined compliance checklists, project-specific assignments, and structured reviews of documents and evidence.

Purpose of the Compliance Case

The primary purpose of the Compliance Case is to:

• Apply structured compliance checklists to a project.
• Assign responsibility for answering and verifying compliance items.
• Support formal document reviews using compliance criteria.
• Provide traceable evidence for audits, assessments, and approvals.

The Compliance Case is typically used in regulated or safety-critical environments where compliance must be demonstrated in a consistent and auditable way.

How the Compliance Case Fits Into a Project

Within a project, the Compliance Case module operates as a workflow system with multiple functional areas. Each area has a clearly defined role in the overall compliance process.

• Settings
  Define how compliance and review activities are structured in the project, including roles, approval levels, and response options.
• Library
  Import Compliance Sets (checklists) from the account library or the Risknowlogy library and assign them to Compliance and/or Review.
• Compliance
  Execute compliance activities by assigning checklist items to levels and users and recording responses.
• Review
  Perform document reviews, either by applying compliance checklists to documents or by adding review comments.

Compliance Sets

A central concept in the Compliance Case module is the Compliance Set.

A Compliance Set is a predefined checklist that contains one or more compliance items. Compliance Sets can be:

• Imported from the project’s account library.
• Imported from the Risknowlogy library.
• Assigned to Compliance, Review, or both.

Once assigned, a Compliance Set becomes available in the relevant section of the Compliance Case module.

Roles and Responsibilities

Compliance activities are typically performed by different roles to ensure independence and traceability. Depending on project settings, these roles may include:

• Responsible – provides answers or evidence for compliance items.
• Verifier – reviews and verifies the provided answers.
• Assessor – performs an independent or higher-level assessment, if applicable.

Roles, approval levels, and assignment rules are defined in the project’s Compliance Case settings. They can be adjusted according to the needs of the project, standard or law applied.

Typical Workflow

A typical Compliance Case workflow follows these steps:

1. Configure Compliance Case settings for the project.
2. Import relevant Compliance Sets into the project library.
3. Assign Compliance Sets to Compliance and/or Review.
4. Assign compliance items to levels and users.
5. Provide answers, evidence, and reviews.
6. Export reports for documentation and audit purposes.

Next Steps

The following pages describe each part of the Compliance Case module in more detail:

• Compliance Case – Settings
• Compliance Case – Library
• Compliance Case – Compliance
• Compliance Case – Review

Each page focuses on a single functional area to keep instructions clear, concise, and easy to maintain.