Compliance Case – Compliance

The Compliance section of the Compliance Case module is used to execute structured compliance activities within a project. It is where Compliance Sets are applied, compliance items are assigned, and responses are provided and verified.

Only Compliance Sets that have been assigned to Compliance in the Library are visible in this section.

Purpose of the Compliance Section

The Compliance section is used to:

• Apply Compliance Sets to the project.
• Assign individual compliance items to approval levels.
• Assign responsibility for each compliance item.
• Record compliance responses and evidence.
• Support verification and assessment activities.

Compliance Sets in a Project

The Compliance section displays all Compliance Sets that are assigned to Compliance in the Library. Each Compliance Set represents a checklist containing multiple compliance items.

By default, Compliance Sets are shown in a collapsed view.

Expanding a Compliance Set

To work with the individual compliance items of a Compliance Set, expand it by selecting the + icon.

Once expanded, all compliance items contained in the Compliance Set are displayed.

Compliance Items

Each compliance item represents a single requirement or verification point. Compliance items are handled individually and can be assigned independently of other items in the same Compliance Set.

For each compliance item, the following assignments can be made:

• An Approval Level
• A User within that approval level

Approval levels and available users are defined in the Compliance Case settings of the project.

Assigning Compliance Items

To assign a compliance item:

1. Expand the relevant Compliance Set.
2. Select the appropriate Approval Level for the item.
3. Assign a User within that level.

Once assigned, the compliance item becomes the responsibility of the selected user.

 

Roles and Responsibilities

Compliance execution typically involves multiple roles to ensure independence and traceability. Depending on project settings, these roles may include:

• Responsible
  Provides the response and supporting evidence for a compliance item.
• Verifier
  Reviews and verifies the response provided by the responsible user.
• Assessor
  Performs an independent or higher-level assessment, if applicable.

Which roles are used, and how they are sequenced, is defined in the Compliance Case settings. 

Providing Responses

Assigned users can provide responses to their compliance items. Responses typically include:

• A selected response option (for example compliant, not compliant, not applicable).
• Comments or explanations.
• References to supporting documents or evidence.

Available response options are configured in the Compliance Case settings.

Verification and Assessment

After a response has been provided, verification and assessment activities may be required.

Depending on the configured workflow:

• Verifiers review the response and evidence.
• Assessors perform an additional independent review.

The status of each compliance item reflects its current position in the approval process.

Traceability and Status

Each compliance item maintains a traceable history, including:

• Assigned level and user.
• Responses and comments.
• Verification and assessment actions.
• Current status.

This traceability supports audits, assessments, and formal project approvals.

Next Steps

After completing compliance execution:

• Use the Review section to review documents.
• Generate reports to document compliance status and evidence.

The Review section is described in detail on the next manual page.