Compliance Reporting & Analytics - Disclosurely
Comprehensive compliance reports, EU Directive tracking, GDPR analytics, SOX reporting, data retention reports, and whistleblowing program analytics.
Compliance Reporting & Analytics
Generate comprehensive compliance reports and analytics to demonstrate regulatory adherence and drive improvements.
Overview
Disclosurely's reporting and analytics capabilities help you:
- Demonstrate compliance: Prove adherence to regulations
- Identify trends: Spot patterns and emerging issues
- Measure effectiveness: Assess whistleblowing program performance
- Support decision-making: Data-driven insights
- Improve processes: Continuous improvement based on metrics
- Communicate to stakeholders: Board, executives, regulators
Pre-Built Compliance Reports
EU Whistleblowing Directive Report
Purpose: Demonstrate compliance with EU Directive 2019/1937
Key Metrics:
- Total reports received
- Acknowledgment compliance (within 7 days)
- Feedback compliance (within 3 months)
- Cases extended to 6 months
- Average time to acknowledgment
- Average time to feedback
- Compliance rate (%)
Report Sections:
- Executive Summary: High-level compliance overview
- Acknowledgment Compliance: 7-day requirement tracking
- Feedback Compliance: 3-month requirement tracking
- Timeline Analysis: Average durations by category
- Exception Report: Cases exceeding timeframes
- Recommendations: Improvements needed
Generate Report:
- Dashboard > Reports > Compliance
- Select "EU Directive Compliance"
- Choose date range (quarter, year, custom)
- Include/exclude confidential details
- Export format (PDF, Excel, CSV)
- Generate and download
Frequency: Quarterly for audit committee, annually for board
GDPR Compliance Report
Purpose: Document GDPR compliance activities
Key Sections:
- Data Subject Requests: Access, rectification, erasure, etc.
- Response Times: Compliance with 30-day requirement
- Data Processing Activities: Article 30 records
- Data Breaches: Incidents and notifications
- Retention Compliance: Deletions performed
- Consent Management: Consent obtained and withdrawn
- Training: Staff GDPR training completion
Metrics:
- Data subject requests by type
- Average response time
- Requests fulfilled/declined
- Deletion compliance rate
- Active data processing activities
- Data breaches reported
- Training completion rate
Generate Report:
- Dashboard > Reports > GDPR Compliance
- Select reporting period
- Choose sections to include
- Add narrative (optional)
- Export format
- Download
Use For:
- Data Protection Officer reporting
- DPA inquiries
- Internal audits
- Board reporting
- DPIA updates
SOX Compliance Report
Purpose: Demonstrate Sarbanes-Oxley compliance
Coverage:
- Financial misconduct reports
- Audit committee oversight
- Investigation outcomes
- Anti-retaliation measures
- Internal control effectiveness
- Timeline compliance
- Training completion
Key Metrics:
- Financial misconduct reports received
- % routed to audit committee
- Average investigation time
- Substantiation rate
- Control deficiencies identified
- Actions taken
- Retaliation complaints
Report Structure:
- Overview: Program summary
- Financial Reports: Volume and nature
- Investigations: Status and outcomes
- Audit Committee Oversight: Meetings and briefings
- Anti-Retaliation: Measures and effectiveness
- Control Testing: SOX 404 results
- Recommendations: Enhancements needed
Generate Report:
- Dashboard > Reports > SOX Compliance
- Select quarter or year
- Include executive summary
- Add audit committee presentation
- Export format
- Download
Frequency: Quarterly to audit committee
Data Retention Report
Purpose: Track data retention and deletion compliance
Contents:
- Cases by retention status
- Upcoming deletions (30, 60, 90 days)
- Deletions performed this period
- Retention policy compliance
- Legal holds active
- Storage utilization
- Cost projections
Metrics:
- Total active cases
- Total archived cases
- Cases pending deletion
- Deletions completed
- Deletion compliance rate
- Legal holds count
- Average retention period
- Storage by category
Generate Report:
- Dashboard > Reports > Data Retention
- Select date range
- Include deletion certificates
- Add storage analysis
- Export format
- Download
Use For:
- Compliance monitoring
- Storage planning
- Budget forecasting
- Audit preparation
- Policy review
Anti-Retaliation Report
Purpose: Document protection measures and effectiveness
Tracking:
- Retaliation complaints received
- Investigation outcomes
- Disciplinary actions taken
- Reporter employment status monitoring
- Policy violations
- Training completion
- Awareness metrics
Metrics:
- Retaliation complaints count
- Substantiated retaliation cases
- Retaliators disciplined
- Reporters affected
- Time to investigate retaliation
- Prevention measures implemented
- Training completion rate
Generate Report:
- Dashboard > Reports > Anti-Retaliation
- Select period
- Include anonymized case studies
- Add trend analysis
- Export format
- Download
Use For:
- Demonstrating protection commitment
- Board reporting
- Culture assessment
- Policy effectiveness
- Regulatory inquiries
Custom Report Builder
Creating Custom Reports
When to Use:
- Specific stakeholder needs
- Unique regulatory requirements
- Ad-hoc analysis
- Specialized metrics
- Industry-specific reporting
Process:
-
Select Data Source
- Cases
- Users
- Evidence
- Activities
- Audit trail
- Compliance metrics
-
Choose Fields
- Case attributes (category, priority, status, outcome)
- Dates (submission, acknowledgment, resolution)
- Timelines (days to investigate, feedback time)
- Reporter type (anonymous, confidential)
- Assignments (investigator, team)
- Custom fields
-
Apply Filters
- Date range
- Category
- Status
- Outcome
- Priority
- Department
- Location
- Custom criteria
-
Select Visualizations
- Tables
- Charts (bar, line, pie, trend)
- Metrics cards
- Heatmaps
- Timelines
- Geographic maps
-
Configure Output
- Report title
- Sections and order
- Page layout
- Branding
- Export format
-
Save and Schedule
- Save report template
- Schedule automatic generation
- Set recipients
- Delivery method
Access Custom Reports:
- Dashboard > Reports > Custom Report Builder
- "Create New Report" or select saved template
- Configure parameters
- Preview
- Generate and export
Analytics Dashboard
Real-Time Metrics
Overview Dashboard:
- Total reports (all time, this month, this quarter)
- Active investigations
- Cases by status (pie chart)
- Cases by category (bar chart)
- Average resolution time
- Compliance metrics (green/yellow/red indicators)
- Recent activity feed
- Alerts and notifications
Access: Dashboard homepage upon login
Trend Analysis
Volume Trends:
- Reports over time (line chart)
- Comparing periods (month-over-month, year-over-year)
- Seasonal patterns
- Growth or decline trends
- Forecasting
Category Trends:
- Most reported categories
- Changing patterns
- Emerging issues
- Declining categories
- Category-specific metrics
Outcome Trends:
- Substantiation rates
- Unsubstantiated rates
- Investigation effectiveness
- Action types taken
- Resolution methods
Access:
- Dashboard > Analytics > Trends
- Select metric to analyze
- Choose time period
- Compare periods
- Export charts
Performance Metrics
Investigation Efficiency:
- Average time to assignment
- Average time to resolution
- Cases per investigator
- Investigator workload balance
- Timeline compliance
Program Effectiveness:
- Reporter satisfaction (if surveyed)
- Retaliation rate
- Substantiation rate
- Actions taken rate
- Process improvements implemented
Compliance Performance:
- Acknowledgment compliance (%)
- Feedback compliance (%)
- Retention compliance (%)
- Policy adherence (%)
- Training completion (%)
Benchmarking:
- Compare to prior periods
- Compare to industry standards
- Compare across departments
- Compare across locations
- Identify outliers
Access:
- Dashboard > Analytics > Performance
- Select metrics
- Set comparison parameters
- View results
- Export analysis
Heat Maps and Geographic Analysis
Activity Heat Maps:
- Reports by time of day
- Reports by day of week
- Reports by month
- High-activity periods
- Low-activity periods
Geographic Analysis (if location data available):
- Reports by location
- Regional trends
- Site-specific issues
- Multi-site comparison
- Risk hotspots
Use Cases:
- Resource allocation
- Targeted training
- Location-specific policies
- Cultural assessments
- Risk management
Access:
- Dashboard > Analytics > Heat Maps
- Select analysis type
- Configure parameters
- View visualization
- Export
Stakeholder Reporting
Board of Directors
Recommended Frequency: Quarterly or semi-annually
Report Contents:
- Executive summary (1 page)
- Key metrics and trends
- Significant cases (high-level, no details)
- Compliance status
- Program effectiveness
- Risks and concerns
- Recommendations
- Resource needs
Tone: High-level, strategic, focused on risk and compliance
Generate:
- Dashboard > Reports > Board Report
- Select quarter/period
- Auto-generates executive summary
- Customize as needed
- Export to PDF
- Present at board meeting
Audit Committee
Recommended Frequency: Quarterly
Report Contents:
- All financial misconduct reports
- Investigation status and outcomes
- Compliance metrics (detailed)
- Control effectiveness
- Testing results
- Retaliation matters
- Trends and patterns
- Resource adequacy
- Policy updates
Tone: Detailed, compliance-focused, control-oriented
Generate:
- Dashboard > Reports > Audit Committee Report
- Select quarter
- Include all financial cases
- Add control testing results
- Export to PDF
- Distribute securely before meeting
Executive Leadership
Recommended Frequency: Monthly or quarterly
Report Contents:
- Report volume and trends
- Category breakdown
- Significant cases requiring attention
- Resource needs
- Culture indicators
- Action items
- Risks
- Improvements recommended
Tone: Operational, action-oriented, culture-focused
Generate:
- Dashboard > Reports > Executive Report
- Select period
- Highlight significant matters
- Include action items
- Export to PDF or presentation
- Distribute to leadership team
Regulatory Authorities
When Required:
- Regulatory inquiry
- Routine reporting (if required)
- Annual filings
- Incident reporting
- Audit response
Report Contents:
- Specific information requested
- Compliance documentation
- Case details (as required)
- Policies and procedures
- Statistics and metrics
- Corrective actions
Considerations:
- Maintain confidentiality where possible
- Provide only what's requested
- Accurate and complete
- Audit trail support
- Legal review recommended
Generate:
- Determine specific requirements
- Use Custom Report Builder
- Include required data only
- Legal counsel review
- Export with audit trail
- Submit through proper channels
Employees (Aggregated)
Recommended Frequency: Annually or semi-annually
Report Contents (high-level, aggregated):
- Number of reports received
- General categories
- Actions taken (aggregated)
- Process improvements made
- Commitment to speak-up culture
- No retaliation occurred
- Availability of channels
Purpose:
- Transparency
- Build trust
- Encourage reporting
- Demonstrate responsiveness
- Reinforce culture
What NOT to Include:
- Specific case details
- Identities
- Departments or individuals involved
- Confidential information
- Ongoing investigations
Communicate Through:
- Company-wide email
- Intranet article
- Town hall presentation
- Newsletter
- Annual report
Exporting and Scheduling
Export Formats
Available Formats:
PDF:
- Formatted reports
- Professional appearance
- Suitable for presentations
- Board/audit committee reports
- Fixed layout
- Print-ready
Excel/CSV:
- Raw data export
- Further analysis possible
- Pivot tables
- Charts and graphs
- Import to other systems
- Data manipulation
PowerPoint:
- Presentation format
- Charts and graphs
- Executive summaries
- Board presentations
- Editable slides
JSON/XML:
- System integration
- API export
- Data exchange
- Automated processing
- Enterprise integrations
Scheduled Reports
Automate Report Generation:
-
Create Report Template
- Configure report parameters
- Save as template
- Name descriptively
-
Set Schedule
- Frequency (daily, weekly, monthly, quarterly, annually)
- Day and time
- Time zone
- Start date
- End date (optional)
-
Configure Recipients
- Email addresses
- User roles (audit committee, administrators)
- External recipients (with approval)
- CC and BCC
-
Set Delivery Method
- Email attachment
- Secure link
- Dashboard notification
- SFTP upload (Enterprise)
- API webhook (Enterprise)
-
Activate Schedule
- Test first delivery
- Monitor for errors
- Adjust as needed
Common Schedules:
- Monthly metrics: 1st of each month
- Quarterly compliance: 5th day of quarter
- Annual review: January 15
- Weekly summary: Monday morning
- Daily urgent: Every morning 8am
Access:
- Dashboard > Reports > Scheduled Reports
- View upcoming deliveries
- Edit schedules
- Pause/resume
- View delivery history
Data Visualization
Chart Types
Bar Charts:
- Cases by category
- Cases by department
- Cases by status
- Comparative analysis
Line Charts:
- Trends over time
- Volume changes
- Timeline compliance
- Seasonal patterns
Pie Charts:
- Category distribution
- Outcome breakdown
- Status distribution
- Reporter type mix
Tables:
- Detailed case lists
- Compliance tracking
- Audit trails
- Exception reports
Timelines:
- Case lifecycle
- Investigation progress
- Compliance deadlines
- Historical view
Heat Maps:
- Activity by time
- Geographic distribution
- Risk assessment
- Priority matrix
Interactive Dashboards
Features:
- Drill-down capability
- Filter and slice data
- Dynamic date ranges
- Real-time updates
- Comparative views
- Export to various formats
Use Cases:
- Executive dashboards
- Operational monitoring
- Compliance oversight
- Investigation management
- Trend analysis
Access:
- Dashboard > Analytics > Interactive
- Customize view
- Save personal dashboard
- Share with team
- Present in meetings
Benchmarking and Industry Comparison
Internal Benchmarking
Compare:
- Different time periods
- Different departments
- Different locations
- Different case types
- Different investigators
Identify:
- Best practices
- Areas for improvement
- Resource needs
- Training gaps
- Process inefficiencies
External Benchmarking
Disclosurely Insights (Enterprise plan):
- Anonymized industry data
- Peer comparison
- Industry averages
- Best-in-class metrics
- Trend analysis
Metrics Available:
- Reports per 1000 employees
- Substantiation rates
- Average resolution time
- Category distribution
- Anonymous vs. confidential mix
- Retaliation rates
Benefits:
- Understand your performance
- Set realistic targets
- Justify resources
- Demonstrate effectiveness
- Identify improvement areas
Access:
- Dashboard > Analytics > Benchmarking
- Select industry
- Choose company size
- View comparisons
- Export report
Privacy and Confidentiality
Protecting Reporter Identity
In All Reports:
- No reporter names or identifying details
- Aggregated data only
- Minimum thresholds (e.g., 5 cases before showing)
- Generalized descriptions
- No combination of attributes that could identify
Redaction:
- Automatic redaction of identifiers
- Manual review for sensitive reports
- Context-aware anonymization
- Preserve data utility while protecting privacy
Access Controls
Who Can See What:
Administrators:
- All reports and analytics
- Identifiable data (where authorized)
- Export capabilities
Audit Committee:
- Financial misconduct reports
- Compliance metrics
- Aggregated data
- No routine access to identities
Executives:
- High-level metrics
- Trends and patterns
- Significant case summaries
- No routine access to identities
External Auditors:
- Limited scope
- Anonymized data
- Specific cases (with approval)
- Temporary access
- Logged in audit trail
Configure Access:
- Settings > Permissions > Reports
- Set access levels by role
- Enable/disable export for roles
- Set data sensitivity levels
- Save configuration
Best Practices
Regular Review
Monthly:
- Review key metrics
- Check compliance status
- Address alerts
- Monitor trends
Quarterly:
- Generate compliance reports
- Present to stakeholders
- Benchmark performance
- Assess effectiveness
Annually:
- Comprehensive review
- Strategic planning
- Resource assessment
- Program evaluation
- Report to board
Data Quality
Ensure Accuracy:
- Validate data entry
- Review categorization
- Update status promptly
- Complete all fields
- Document thoroughly
Data Governance:
- Clear definitions
- Consistent categorization
- Regular audits
- Training on data entry
- Quality checks
Actionable Insights
Don't Just Report, Act:
- Identify trends → investigate root causes
- High volume in category → targeted training
- Slow investigations → process improvement
- Low reporting rate → communication needed
- Retaliation concern → policy reinforcement
Close the Loop:
- Report findings
- Recommend actions
- Implement changes
- Measure impact
- Report results
Continuous Improvement
Learn from Data:
- What's working well?
- What needs improvement?
- Where are bottlenecks?
- What training is needed?
- How can we be more effective?
Iterate:
- Update procedures
- Enhance training
- Improve communications
- Refine policies
- Optimize processes
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