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Compliance Calendar - Disclosurely Compliance

Compliance deadlines, regulatory reporting dates, audit schedules, training schedules, policy reviews, and automated compliance reminder management.

Compliance Calendar

The Compliance Calendar is your centralized system for tracking all whistleblowing compliance deadlines, regulatory requirements, policy reviews, training schedules, and audit dates. Never miss a critical deadline with automated reminders, timeline tracking, and comprehensive compliance monitoring.

What is the Compliance Calendar?

Disclosurely's Compliance Calendar manages all time-sensitive compliance activities in one place, ensuring your organization meets regulatory deadlines and maintains ongoing compliance with EU Directive, SOX, GDPR, and other whistleblowing regulations.

Key Features:

  • Case Deadlines: Track 7-day acknowledgment and 3-month feedback requirements
  • Regulatory Milestones: Monitor compliance with jurisdiction-specific timelines
  • Audit Schedules: Plan and track internal and external audits
  • Training Calendars: Schedule and monitor mandatory training completion
  • Policy Reviews: Automate annual policy review cycles
  • Retention Management: Track retention periods and scheduled deletions
  • Automated Alerts: Receive reminders before deadlines approach

Regulatory Compliance Timelines

EU Whistleblowing Directive Deadlines

7-Day Acknowledgment Requirement:

  • Timeline starts: When report is submitted
  • Deadline: 7 calendar days after submission
  • Automatic: Acknowledgment sent immediately upon submission
  • Tracking: Dashboard shows acknowledgment compliance rate
  • Alert: System alerts if acknowledgment somehow delayed

3-Month Feedback Deadline:

  • Timeline starts: When report is submitted
  • Standard deadline: 3 months (90 days) from submission
  • Extended deadline: 6 months for complex cases (document reason)
  • Reminders: Alerts at 60, 75, and 85 days
  • Tracking: Calendar highlights approaching deadlines

How to Monitor:

  1. Dashboard > Calendar > EU Directive Deadlines
  2. View all cases with approaching feedback deadlines
  3. Filter by urgency (overdue, due this week, due this month)
  4. Click case to provide feedback or extend deadline
  5. Document extension reason if moving to 6 months

SOX Compliance Timelines

Anonymous Report Processing:

  • Immediate acknowledgment required (automated)
  • Audit committee notification within 24 hours for financial misconduct
  • Investigation must commence promptly
  • No specific feedback timeline but best practice: 30-60 days

Record Retention:

  • Minimum: 7 years from case closure
  • Applies to: All reports, investigations, and supporting documentation
  • Tracking: Compliance Calendar tracks retention expiration dates
  • Automated: Deletion alerts 90, 30, and 7 days before retention period ends

Audit Committee Reporting:

  • Quarterly: Summary of whistleblowing activity
  • Annually: Comprehensive compliance report
  • Ad-hoc: Critical issues require immediate briefing
  • Calendar: Schedule recurring board/audit committee meetings

GDPR Data Subject Request Timelines

Data Access Requests:

  • Timeline: 1 month from receipt of request
  • Extension: Additional 2 months for complex requests (notify requester)
  • Tracking: Calendar tracks all open DSAR deadlines
  • Alerts: Reminders at 7, 14, and 21 days

Right to Erasure Requests:

  • Timeline: 1 month response required
  • Action: Assess exemptions, approve/deny, execute if required
  • Tracking: Calendar monitors all erasure request deadlines

Rectification Requests:

  • Timeline: 1 month to respond
  • Action: Review accuracy, update if appropriate
  • Tracking: Calendar tracks rectification deadlines

Case Timeline Management

Automatic Case Milestones

Every case automatically creates calendar entries:

Day 0: Report submitted

  • Acknowledgment sent automatically
  • Case assigned to investigator
  • 3-month feedback timer starts

Day 7: Acknowledgment deadline

  • EU Directive requirement met (automatic)
  • Logged in audit trail

Day 60: First feedback reminder

  • Email to assigned investigator
  • Dashboard notification
  • Case status check prompt

Day 75: Second feedback reminder

  • Escalation to compliance officer
  • Urgency increased
  • Investigation status review required

Day 85: Final feedback reminder

  • Urgent alert to investigator and leadership
  • Case flagged as approaching deadline
  • Immediate action required

Day 90: 3-month feedback deadline

  • Provide feedback to reporter or extend to 6 months
  • Document reason if extending
  • Overdue if not completed

Day 180: 6-month extended deadline (if applicable)

  • Final deadline for complex cases
  • Must provide feedback
  • Regulatory non-compliance if missed

Custom Milestone Creation

Add organization-specific milestones:

Investigation Milestones:

  • Initial assessment completion (e.g., Day 7)
  • Evidence collection deadline (e.g., Day 30)
  • Interview completion target (e.g., Day 45)
  • Draft report deadline (e.g., Day 60)
  • Final report deadline (e.g., Day 80)
  • Outcome communication (Day 90)

Create Custom Milestone:

  1. Open case
  2. Click "Add Milestone"
  3. Set milestone name and target date
  4. Choose who receives reminder
  5. Set reminder schedule (e.g., 7 days before)
  6. Save milestone

Milestone Templates: Create reusable milestone templates for case types:

  • Harassment investigation template (standard 8-milestone process)
  • Financial misconduct template (includes forensic accounting milestones)
  • Discrimination investigation template (includes expert consultation milestones)
  • Quick investigation template (streamlined 5-milestone process)

Policy Review Calendar

Annual Policy Review Requirements

Whistleblowing Policy:

  • Frequency: Annual review required
  • Triggers: Regulatory changes, incidents, best practice updates
  • Process: Legal review, stakeholder feedback, board approval
  • Calendar: Automatically schedules next year's review on completion

Related Policies:

  • Anti-retaliation policy (annual)
  • Code of conduct (annual or biennial)
  • Investigation procedures (annual)
  • Confidentiality policy (annual)
  • Data retention policy (annual)

Policy Review Workflow:

  1. 90 Days Before: Calendar alerts policy owner

    • Review scheduled in calendar
    • Assign policy review team
    • Set review completion deadline

  2. 60 Days Before: Review process begins

    • Assess policy effectiveness
    • Review regulatory changes
    • Gather stakeholder feedback
    • Identify necessary updates

  3. 30 Days Before: Revisions and approvals

    • Draft policy updates
    • Legal review
    • Compliance review
    • Management approval

  4. Expiration Date: New policy effective

    • Publish updated policy
    • Communicate changes to employees
    • Train staff on updates
    • Schedule next year's review

Policy Version Control

Track Policy Versions:

  • Current version always accessible
  • Historical versions archived
  • Change log automatically maintained
  • Effective dates tracked
  • Next review date scheduled

Training Calendar

Mandatory Training Schedules

Investigator Training:

  • Initial: Upon assignment as investigator (within 30 days)
  • Refresher: Annual recertification
  • Specialized: As needed for complex cases
  • Calendar: Tracks training due dates, completion status

Manager Training:

  • Topics: Recognizing misconduct, reporting obligations, anti-retaliation
  • Frequency: Annual mandatory training
  • New managers: Within 90 days of promotion
  • Tracking: Calendar monitors completion rates by department

Employee Awareness:

  • Onboarding: All new employees within 30 days
  • Annual refresher: All employees
  • Special sessions: After policy updates
  • Completion: Calendar tracks individual and organizational completion rates

Compliance Team Training:

  • Regulatory updates: Quarterly
  • Investigation best practices: Semi-annual
  • Technology training: As needed
  • Certifications: Track expiration dates

Training Deadline Management

Individual Tracking:

  • Each user has personal training calendar
  • Shows required training and due dates
  • Sends reminders 30, 14, and 7 days before due date
  • Flags overdue training prominently
  • Restricts system access if critical training overdue

Department Tracking:

  • Manager view: See team member training status
  • HR view: Monitor organizational completion rates
  • Compliance view: Track regulatory training requirements
  • Reports: Generate training compliance reports

Training Workflow:

  1. Training assigned (automatically or manually)
  2. Calendar entry created with due date
  3. Reminders sent to user
  4. User completes training
  5. Completion logged, certificate generated
  6. Calendar updated, next training scheduled

Audit Calendar

Internal Audit Schedule

Quarterly Audits:

  • Timeline compliance review
  • Case handling quality assessment
  • Documentation completeness check
  • Policy compliance audit
  • Security and access control review

Annual Comprehensive Audit:

  • Full system review
  • All cases from past year
  • Compliance with all regulations
  • Policy effectiveness assessment
  • Recommendations for improvements

Calendar Management:

  1. Dashboard > Calendar > Audits
  2. Schedule internal audits (quarterly, annually)
  3. Assign audit team members
  4. Set preparation deadlines
  5. Track audit completion
  6. Schedule follow-up for findings

External Audit Preparation

Regulatory Audits:

  • Data protection authority audits
  • Industry regulator reviews
  • SOX audits (for public companies)
  • ISO certification audits

Preparation Timeline:

  • 90 Days Before: Audit notification received

    • Calendar entry created
    • Audit team assigned
    • Preparation checklist generated

  • 60 Days Before: Documentation review

    • Gather required records
    • Verify compliance status
    • Identify and address gaps
    • Prepare evidence packages

  • 30 Days Before: Mock audit

    • Internal review of materials
    • Practice audit responses
    • Finalize documentation
    • Brief leadership

  • Audit Day: External auditor visit

    • Provide requested documentation
    • Answer auditor questions
    • Document audit process
    • Track findings

  • Post-Audit: Remediation tracking

    • Address any audit findings
    • Implement recommendations
    • Update policies/procedures
    • Schedule follow-up verification

Data Retention Deadlines

Automated Retention Tracking

Case Retention Periods:

  • Default: 7 years from case closure (SOX requirement)
  • Configurable by case type
  • Legal holds override deletion schedules
  • Calendar tracks all retention expiration dates

Deletion Workflow:

  1. 90 Days Before Deletion: First alert

    • Notification to compliance officer
    • Review case for legal hold
    • Confirm retention period appropriate

  2. 30 Days Before Deletion: Second alert

    • Email to all relevant stakeholders
    • Final review opportunity
    • Option to extend retention if needed

  3. 7 Days Before Deletion: Final alert

    • Urgent notification
    • Last chance to prevent deletion
    • Legal hold can be applied

  4. Deletion Date: Scheduled deletion

    • Requires final approval
    • Secure deletion performed
    • Certificate of deletion generated
    • Audit trail entry created

Legal Hold Management:

  • Apply legal hold to prevent deletion
  • Calendar tracks hold expiration (if temporary)
  • Bulk legal hold for related cases
  • Hold reason documented
  • Release hold when appropriate

Evidence Retention

Different Retention Schedules:

  • Standard evidence: Matches case retention (7 years)
  • Special category data: Minimal retention unless necessary
  • Physical evidence: Documented and tracked separately
  • Third-party evidence: May have different requirements

Calendar Tracking:

  • All evidence has retention expiration date
  • Alerts before deletion
  • Chain of custody maintained
  • Deletion certificate generated

Board and Leadership Reporting

Scheduled Reports

Quarterly Board Reports:

  • Scheduled 2 weeks before each board meeting
  • Compliance officer prepares summary
  • Metrics: Case volume, types, outcomes, compliance status
  • Calendar sends preparation reminders

Annual Compliance Report:

  • Comprehensive year-in-review
  • All regulatory compliance metrics
  • Effectiveness assessment
  • Recommendations for next year
  • Scheduled for Q1 of following year

Ad-Hoc Executive Briefings:

  • Critical issues trigger immediate briefing
  • High-risk cases escalated per policy
  • Pattern detection concerns
  • Regulatory inquiry responses

Report Preparation Workflow

4 Weeks Before Board Meeting:

  • Calendar reminds compliance officer
  • Begin data collection and analysis
  • Prepare draft report

2 Weeks Before:

  • Legal review of report
  • Finalize metrics and recommendations
  • Prepare presentation materials

1 Week Before:

  • Distribute report to board members
  • Schedule pre-meeting if needed
  • Prepare for Q&A

Board Meeting:

  • Present report
  • Answer questions
  • Document board feedback
  • Note action items

Post-Meeting:

  • Implement board-approved actions
  • Update policies per board direction
  • Schedule next report

Calendar Views and Filters

Dashboard Views

Timeline View:

  • Chronological display of all upcoming deadlines
  • Color-coded by urgency (red: overdue, orange: due soon, yellow: upcoming)
  • Filter by type (case, policy, training, audit)
  • Expandable details for each deadline

List View:

  • Table format showing all calendar items
  • Sortable by date, type, priority, assignee
  • Search and filter capabilities
  • Export to CSV or calendar app

Calendar Grid View:

  • Month-at-a-glance calendar display
  • Hover for details
  • Click to access related case or item
  • Sync with Outlook/Google Calendar

My Calendar View:

  • Personal calendar showing only your assignments
  • Training due dates
  • Cases you're investigating
  • Your review deadlines
  • Audit assignments

Filter By:

  • Deadline type (acknowledgment, feedback, training, audit, policy review)
  • Urgency (overdue, due this week, due this month, upcoming)
  • Assignee (me, my team, all)
  • Regulatory framework (EU Directive, SOX, GDPR, all)
  • Case type (harassment, fraud, discrimination, etc.)
  • Department
  • Date range

Search:

  • Search by case ID
  • Search by person name
  • Search by keyword
  • Search by deadline type

Notifications and Reminders

Automatic Notifications

Email Reminders:

  • Sent to assigned investigator
  • Escalation to compliance officer if approaching deadline
  • Frequency: 30, 14, 7, 3, 1 days before deadline
  • Include direct link to case/item
  • Clear call-to-action

Dashboard Notifications:

  • Red badge on calendar icon (overdue items)
  • Notification panel shows upcoming deadlines
  • Urgent deadlines highlighted in red
  • Persistent until acknowledged

SMS Alerts (Optional):

  • Critical deadlines only
  • Overdue compliance deadlines
  • High-risk case milestones
  • Emergency audit notifications

Notification Preferences

Customize Notifications:

  1. Dashboard > Settings > Notifications
  2. Choose which alerts to receive
  3. Select delivery method (email, dashboard, SMS)
  4. Set notification frequency
  5. Configure escalation rules

Team Notifications:

  • Manager receives team member overdue alerts
  • Compliance officer receives organization-wide escalations
  • Leadership notified of critical compliance issues
  • Backup assignee alerts if primary doesn't respond

Mobile Calendar Access

Mobile App:

  • View compliance calendar on mobile device
  • Receive push notifications for deadlines
  • Quick actions (approve extension, mark training complete)
  • Sync with device calendar
  • Offline access to upcoming deadlines

Mobile Workflow:

  • Alert received on mobile
  • Open calendar item
  • Review case details
  • Take action (provide feedback, extend deadline, etc.)
  • Calendar automatically updated

Integration with External Calendars

Calendar Sync

Supported Integrations:

  • Microsoft Outlook / Office 365
  • Google Calendar
  • Apple Calendar (iCal)
  • Generic ICS export

What Syncs:

  • Case deadlines
  • Training due dates
  • Policy review dates
  • Audit schedules
  • Board reporting dates

Privacy Controls:

  • Configure what syncs to external calendar
  • Generic titles for confidentiality ("Case deadline" not case details)
  • Sensitive items can be excluded from sync
  • One-way sync (Disclosurely to external calendar only)

Setup Sync:

  1. Dashboard > Settings > Calendar Integration
  2. Choose calendar provider
  3. Authorize connection
  4. Select what to sync
  5. Configure privacy level
  6. Save and sync

Compliance Metrics and Reporting

Deadline Compliance Metrics

Key Metrics:

  • Acknowledgment compliance rate (target: 100%)
  • Feedback compliance rate (target: 95%+)
  • Average feedback time (benchmark against 90 days)
  • Training completion rate (target: 100% within deadline)
  • Policy review on-time completion (target: 100%)
  • Audit preparation timeliness

Dashboard View:

  • Real-time compliance metrics
  • Trend charts (compliance over time)
  • Department comparison
  • Red/yellow/green status indicators

Generate Reports:

  1. Dashboard > Reports > Compliance Calendar
  2. Select date range
  3. Choose metrics to include
  4. Export as PDF, CSV, or dashboard view
  5. Share with stakeholders

Proactive Compliance Management

Early Warning System:

  • Identify patterns in missed deadlines
  • Flag investigators with lower compliance rates
  • Alert to capacity issues (too many cases per investigator)
  • Recommend resource allocation adjustments
  • Predict future deadline bottlenecks

Continuous Improvement:

  • Track deadline compliance trends
  • Identify root causes of delays
  • Implement process improvements
  • Monitor effectiveness of changes
  • Celebrate improvements
Compliance Calendar - Disclosurely Compliance | Disclosurely Docs