Use Case: Attorney Compliance Module

QBO3 was used to create an Attorney Compliance Module to assist attorneys with managing compliance audits from their clients (typically banks).

From a high level, the following concepts were mapped:
  • Attorneys are Organizations
  • Complaint Audits are Processes
  • Most audits don't have a pre-structured workflow; instead, they have ad-hoc remediation tasks (Import Forms)
The site structure will include:
  • Compliance home page
  • Attorney summary page
    • manage Audits, Clients, Offices, Users
  • A FAQ
A Compliance theme was created (theme.Compliance.csproj), including:
  • Config
    • Setup.Compliance.xml: contains custom configuration entries
  • Templates
    • Compliance
      • Attorney.Home.xslt: this will be the 'home page' for the Compliance module; Contact/Organization.ashx/Attorneys
      • Attorney.Summary.xslt: this will be the attorney summary page; Contact/Organization.ashx/Attorney?ID=X
      • Audit.Search.xslt: a customized Process search panel to display audits
      • Audit.Select.xslt: a customized Process select panel to display the audit, and tasks related to the audit
      • Message.FAQ.xslt: a FAQ wrapper
      • Message.FAQList.xslt: a customized Message search panel to display FAQ messages

Audit Processes

There can be various types of audits, each represented by a Process Template, where the ProcessTemplateType='Complaince'. For end users, they can create a new audit from:
  • Navigating to Attorneys > {Attorney Name}
  • Scroll to the Audit panel, and select Options > New {Process Template}
Power users can create new Audit templates from:
  • Design > Processes, choose Options > New Template
  • Enter the name of the new Audit template, and ensure you select 'Compliance' from the Type dropdown list (otherwise, it won't appear on the user's Audit Options menu)