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)