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How to Use Case Management Software for Compliance Automation

Automate compliance to save time and money and reduce your company’s risk of penalties and lawsuits.

Posted by Ann Snook on May 14th, 2020

Think of how much time and money your company spends on compliance. Keeping track of new and updated regulations, changing policies and processes and auditing procedures are full-time commitments. Despite all that effort, you could still face a compliance lapse (and the penalties that come with it) due to human error.

Case management software automates compliance, saving you time and reducing risk of fines and lawsuits.


Failing to comply with laws and regulations can have devastating consequences.

Case management software helps you increase regulatory compliance. This free eBook explains how this one tool can help you track and manage compliance investigations and report on results for effective risk management and prevention.

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Built-In Forms Ensure Correct Reporting


One of the hardest parts about compliance is the paperwork.

Which form do you need to fill out in what situation? What information do you need to include? Who needs to fill out the forms and who needs to sign them? How long do you have to file reports? How often do you need to file them?

Case management software removes the guesswork. Relevant forms are built into the workflow so your team always files the correct form and does so correctly. To achieve compliance automation, your company may need form templates for:

  • OSHA
  • EEOC
  • DOJ
  • SEC


Task Alerts Keep Teams On Track


In addition to filing the correct forms, you also have to keep track of reporting timelines. Remembering to file annual reports and getting time-sensitive forms out on time can be stressful.

Case management software automates compliance with task alerts. Team members are alerted when they have a deadline coming due and managers can monitor case progress to keep it on track.

For example, say an employee was injured in the workplace. As soon as you create an incident file in your case management system, the assigned team member will be prompted to file the appropriate OSHA form, with a task deadline compliant with regulations.


RELATED: Online Case Management Software: 3 Benefits of a Web-Based System


A Secure Platform Meets Privacy Regulations


With data security and privacy laws such as the GDPR and CCPA, protecting sensitive information in your case management system is a must.

Using case management software automates compliance with these regulations in two ways. First, a secure, password-protected platform keeps information from falling into the wrong hands.

Secondly, you can set up role-based access for an extra level of data protection. You can limit what each user sees based on their position on the team (i.e. employee or manager), as well as on a case-by-case basis. Case management systems even flag links between employees and case subjects so you can avoid conflicts of interest.

Also, case management software can help companies comply with privacy regulations through efficient, compliant reporting and investigation of breaches.


Case History Provides an Audit Trail


If you conduct investigations in your workplace, you probably do them “by the book.” However, should you be audited or challenged in court about your processes, how easily could you prove compliance?

A detailed case history automates compliance by providing proof of your team’s activities. Case management software with date- and time-stamped case logs record who did what on a file and when. This detailed timeline is easy to search and share should your company ever be questioned by a regulatory body.

Automating this process saves potential time and stress. No one will have to scramble to put together evidence of proper processes, nor will you have to rely on paper documentation or employees’ memories to piece together a timeline.


RELATED: Top 10 Features of a Great Case Management System


Intake Mechanisms Promote Detection and Prevention


Finally, compliance automation can reduce your risk of internal misconduct. Case management software with secure intake mechanisms and hotlines helps you comply with anti-corruption and security legislation.

Whistleblower reports and complaints help you discover and resolve compliance lapses faster. You’ll also be able to reduce future non-compliance by identifying areas of risk and taking preventive actions.

There is no time to waste when you suspect employee misconduct, especially when it violates legislation. By integrating your current intake mechanisms and/or using one that comes with your case management system, you can start investigating and correcting non-compliance right away. As soon as an employee submits a report or complaint, the software creates a case file and you are on your way to a well-documented, compliant investigation.


Compliance must be ingrained in the company culture and fostered throughout a company’s processes and interactions. Watch our free webinar to learn five keys to an effective program.

Ann Snook
Ann Snook

Marketing Writer

Ann is a marketing writer at i-Sight Software. She writes about issues related to investigations of fraud, employee misconduct, corporate security, Title IX, ethics & compliance and more.

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