Product Guides

Monitor regulatory content and news by creating custom alerts. You can add any number of custom alerts based on search criteria to identify specific sets of documents that impact your business. Once you’ve established your alerts, you won’t need to search again because you’ll be notified automatically once new documents that meet your alert criteria are published.

Creating a new Alert

Step 1:

Select Filter in the search bar and enter search criteria using parameters such as Agency, Jurisdiction, Dates, and free text entry fields such as Title and Full Text, then click Search.

Please refer to our Advanced Search and Filter Guide for tips on how to optimize your search results.

Step 2:

Check your search results, and once you’re satisfied that you’re receiving the expected results, click “Turn on Alerts” located to the right, below the Search Bar.

Please note: Depending on your search and filter criteria, there might not be any documents listed, yet. This can happen, for example, for new regulatory topics and upcoming legislation. However, if you are expecting some results to be shown, then it is likely you have a conflicting item selected in your filter.

For example: If you select Document Type “Rule” and conduct a Title search for something that is currently only a Proposed Rule, no results will be returned. Once the Rule is published, you will receive an alert.

Step 3:

Save your Search and click “Create.” Then save the alert. It will automatically be populated with the keywords listed in the Search bar, you can rename the alert without affecting the search criteria.

Step 4:

Next, you can update the frequency of your notifications via the hyperlink in the confirmation or by selecting the Notifications tab.

From the Notifications tab, find the alert you created and use the dropdown menu to select the frequency of your email notification. You can also choose to not be notified by email, simply deselect all.

• Hourly: updates you within an hour after the document is added in the product.
• Daily: sends you a summary of any new content at the end of the day.
• Weekly: sends you a summary of any new documents published over the past 7 days. Weekly email summaries are sent on Wednesdays.

Common ways to use Compliance.ai’s Alerts and Notifications

1. Email Alerts: Rely on email alerts to indicate when you need to log into the product to review new relevant documents.

2. RSS Feed: Team Edition users have access to RSS links for alerts. You can use these links to review resulting documents in popular RSS reads or to integrate with many platforms you may use in your organization such as your GRC or document management system. See information about our Developer Program for more information on integrations.

3. Product Notifications: Log into the product on a regular basis and manually check for updates. If the bell icon next to the alert is blue, that means there are new documents added, if it is grey, there are no new documents.

4. Saved Searches: You can also treat your alerts as saved searches.

Sharing Alerts and Notifications with your Team

To share alerts with your team, simply click on the “Share” icon and the email addresses of colleagues who also need this information.

Please note, this is limited to individuals within your organization who have a Compliance.ai login ID. If you need help adding users to your organization, please contact us by leaving a message using chat or by email at support@compliance.ai.

Compliance.ai allows you to review and comment on documents with your own personalized annotations. These annotations can be used either to highlight and denote rights, constraints, exceptions, obligations,
and other noteworthy fragments within a regulatory document or to add a label indicating a micro-topic or risk control to a document as a whole. You can review these annotations at any time and add labels to map
the annotations to your controls, annotate them using a rich text editor, and add links or attachments.

Any Pro or Team Edition user can add and review these annotations.

This product guide will show you how to:

1. Search for documents with Annotations

2. Access documents where Annotations can be seen or made.

1. Search for documents with Annotations

To find documents where the Annotations feature is available, select the “Document Properties” filter and select the “Annotations Available” filter.

 

2. Access documents to review and add Annotations

When a document is selected, you will see the Annotations tab in the right-hand panel, which will show any Annotations that either you or your colleagues have made on a document.

To add a label to a document, choose “Add Document Label”. This will allow you to either select from a list of existing labels specific to your organization or add a new label that can be used across your organization.

 

To add an annotation, simply highlight text and select “Add Annotation.” Once you have added annotations, you can navigate to a specific annotated fragment within a document by clicking on the annotation in the right panel.

These Annotations are organized sequentially based on their order within the text. Click on the three dots on the top-right corner of an annotation to add labels, access the rich text editor, and add attachments.

Note: All user-generated annotations added by members of your organization appear in the Annotations tab and are restricted to your organization.

Basic Search

The Compliance.ai search tool allows users to find documents by entering text and using predefined filters. This document provides examples of how to properly use Compliance.ai’s Search and Filters to find the most pertinent documents efficiently.

Agency, Doc Types, Keywords, and Phrases

Example 1: The user would like to see enforcement documents from the SEC that mention a Suspicious Activity Report.

Rather than typing in the search bar: “SEC enforcements SAR,” the user will apply an agency source Filter for “SEC” and document type filter to select Enforcement actions, then add the phrase or keyword to the “Text is” filter or the search bar.

Example 2: For an even more focused search result, the user has the same filters shown above, but now applies quotations around the phrase in their search. By applying quotes, the user is telling Compliance.ai
to only return documents that mention the complete phrase “Suspicious Activity Report” together, in that order.

 

OR

Example 3: In this format, the user is indicating they want to see documents that include either “Suspicious Activity Report” OR (the acronym) SAR. Now Compliance.ai will look for any occurrence of an
SEC Enforcement document that has at least one of those keywords mentioned in the document. The use of “OR” in the search bar must be capitalized.

AND

Example 4: Now the user is looking for a document that has all of the criteria in the previous examples, but also mentions the phrase, “money laundering.” This will return search results for SEC Enforcement
documents that mention either Suspicious Activity Report or SARs AND money laundering. The use of “AND” in the search bar must be capitalized.

 

Citations, CFR and State Code

Example 1: The user is looking for a particular mention of, “title I of the Consumer Credit Protection Act” or 15 U.S.C. 1601 et seq, in any recently published document. No document type or additional filter is required. However, we recommend searching for “USC” rather than “U.S.C.”

OR

Example 2: In this case, the user would like to find documents that mention either “15 USC 1601” or “12 CFR Part 226” using “OR” in addition to the quotations around each citation, the results will return documents that mention at least one of those citations.

AND

Example 3: The user is looking for documents that reference a combination of a citation or act and the federal code. As shown in the example below, you can apply a combination of AND, OR, with parentheses, and Filters for specific search results.

Advanced Search

Compliance.ai’s Advanced Search feature allows you to further filter content with an exclude option. Use the toggle next to the Search bar to switch to Advanced Search at any time.

Note

• Everything must be typed correctly in order for the filters to work properly
• Any text longer than 1 word must be contained in quotations
• You can add Boolean search terms such as “and/and not,” “or/or not,” in between any of the filter types
• All date fields follow the follow format yyyy-mm-dd
• For lists of attributes within the same filter, you can use the IN function instead of AND (see below).
• Value must be exact matches if there is a list (See Table) associated with the attribute
  • Such as = Rule vs. = rule

In order to use this feature, input the correct sequence of attributes, comparators, and values. Please refer to the table below:

If you want to include many values for a particular attribute, it’s more efficient to use the IN function rather than multiple clauses with AND comparators:

Using the “Convert to Advanced Search” feature is also a great way to leverage the simplicity of our Basic Filters, while also allowing you to take advantage of Advanced Search syntax. For example, if you wish to search for all enforcement documents published by the agencies you follow, but wish to exclude AWCs, add filters within the Basic Search filters, include title = AWC, then Convert to Advanced search so you can customize.

Once you have converted, you can simply change the final “AND” to “AND NOT” to exclude AWC and click enter to search.

For even greater fine-tuning of your search results, try using the Builder function to create queries. This gives you access to all possible filters as well as a full array of comparison functions (is, is not, greater than, less than, and true/false).

1. Use the search toggle to select Advanced, then access the Builder via the button to the left of the search bar. Simply click Add Filter to begin adding attributes. Once you select an attribute, in this case, Agency, the system allows you to choose comparators and values that are valid for the attribute.
   
2. If you want to combine And and Or functions in a query, you can add a new Filter Group by selecting the “Add filter group” button. Check your query by reviewing the “builder structure” at the bottom of the screen and reorganize by dragging and dropping your filters using the icon to the right of each filter.

Table: Filter Attributes

Attribute	Comparator	Example	Lists
agency	=(is) / !=(is not)	agency = "FDIC"	Click here
doc_type	=(is) / !=(is not)	doc_type = Rule	Click here
full_text	=(is) / !=(is not)	full_text != "Self-Regulatory Organization"
jurisdiction	=(is) / !=(is not)	jurisdiction = US-TX	Click here
Published_from (published after)	=(is) / !=(is not)	published_from = "2020-01-01"
Published_to (published before)	=(is) / !=(is not)	published_to = "2020-03-13"
title	=(is) / !=(is not)	title = "Truth in Lending Act"
topic	=(is) / !=(is not)	topic = 72	Click here
act	=(is) / !=(is not)	act = 3244	Click here
act_id	=(is) / !=(is not)	act_id = 3244	Click here
agency_id	=(is) / !=(is not)	agency_id = 164	Click here
bank	=(is) / !=(is not)	bank = 15	Click here
bank_id	=(is) / !=(is not)	bank_id = 15	Click here
business	=(is) / !=(is not)	business = 15	Click here
category	=(is) / !=(is not)	category = "Mortgagee Letter"	Click here
citation	=(is) / !=(is not)	citation = "12 CFR 1026.19"
comments_close_from (close after)	=(is) / !=(is not)	comments_close_from = "2020-01-01"
comments_close_to (close before)	=(is) / !=(is not)	comments_close_to = "2020-03-13"
compliance_from (rule effective date after)	=(is) / !=(is not)	compliance_from = "2020-01-01"
compliance_to (rule effective date before)	=(is) / !=(is not)	compliance_to = "2020-03-13"
diffing_available	=(is) / !=(is not)	diffing_available = true
doc_id	=(is) / !=(is not)	doc_id = 4127070
monetary_penalty (exact match search)	=(is) / !=(is not)	monetary_penalty = 150000
monetary_penalty_max (no more than)	=(is) / !=(is not)	monetary_penalty_max = 100000000
monetary_penalty_min (no less than)	=(is) / !=(is not)	monetary_penalty_min = 10000
news_source	=(is) / !=(is not)	news_source = "American Banker"	Click here
obligations	=(is) / !=(is not)	obligations = true
premium_content	=(is) / !=(is not)	premium_content = true
regulation	=(is) / !=(is not)	regulation = 37	Click here
regulation_id	=(is) / !=(is not)	regulation_id = 37	Click here
respondent	=(is) / !=(is not)	respondent = "Compliance.ai"
text	=(is) / !=(is not)	text = "Self-Regulatory Organization"
topic_id	=(is) / !=(is not)	topic_id = 72	Click here
violation	=(is) / !=(is not)	violation = "FINRA Rule"

Topic Updates: Shows a count of documents within your selected Topics published over your preferred time period.

Features:

• Edit widget name, agencies, jurisdictions, documents types, and time period.
• Duplicate to see another instance of the widget.
• Click on document types to see all referenced agency publications within the standard Search view.

 

 

Approaching Deadlines: Helps you keep track of approaching Effective and Comment Close dates for the Agencies, Jurisdictions, and Document Types you have selected over your preferred time horizon.

Features:

• Edit widget name, agencies, jurisdictions, document types and time period.
• Duplicate to see another instance of the widget.
• Click on any document to view details within the standard document view.
• Select See All to view all referenced publications within the standard Search view.

 

Whitepapers: Stay up-to-date by reviewing recently published thought leadership.

Features:

• A snapshot of whitepapers published over the most recent 7 days to help you keep abreast of guidance from leading legal and industry sources.
• Click See All to review all whitepapers available on the platform within the standard Search view.

Hot Topic Widgets: Stay current with high-priority issues by reviewing topical widgets like the Covid-19 and California Consumer Privacy Act (CCPA) widgets.

Features:

• A snapshot of documents published over the past 7 days by either All Sources, or Sources you specifically follow related to hot topics.
• Click See All to review all documents published over the past 7 days on these topics within the standard Search view.

 

Recommended Searches: The list of recommended searches reflects popular searches in the product. Simply click on any of the searches to view the search results.

Customizing the Dashboard

You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.

To add or remove any of the widgets, click on the “Customize” dropdown list at the top right of the screen, and click the checkmark next to the widget’s name.

Customized Dashboard Widgets

Your Compliance.ai Dashboard includes a variety of useful Widgets catered to many aspects of the regulatory landscape.

You can duplicate and edit widgets by clicking "Edit" to create customized views of documents over selected periods of time.

The Activities at a Glance widget shows a carousel of documents that have been published over your selected period of time by the Agencies / Jurisdictions you selected in the Default Filter.

By clicking on the three dots or edit in the upper right corner of the widget, you can open the Widget menu. The menu items allow you to:

• Toggle on your Default Filter selections
• Change the Time Range of published documents the carousel will surface
• Update the Jurisdictions and Agencies that appear on the carousel
• Duplicating the Widget

Duplicating the Widget

While in the Widget menu, select the duplication icon in the upper right corner to create a clone of the carousel. Scroll down to locate the duplicate Widget; click the Widget menu to rename and customize it.

Here is one idea on how to customize the Widget: To view all documents from the State Jurisdictions of California and New York over the past 45 days, use the following filters:

Hone in on content that is critical to your business by using  Default Filters. Narrow your content funnel by selecting three types of filters: Topics, Regulatory Sources (includes Agencies and Jurisdictions), and News & Premium Content.

Topics: Take advantage of Compliance.ai’s combination of Expert-in-the-Loop and Machine Learning assessments to concentrate your searches on documents that match key financial service industry topics.

Regulatory Sources:  Follow specific agencies in the  jurisdictions where you do business.

Note: Remember to Add a Jurisdiction if you do business internationally and check for Other US Sources if you don’t see specific agencies you follow in the default US Agencies list. If you can’t find a regulator or jurisdiction you follow, you can always request new sources by clicking “Request More Info” and submitting a suggestion or contacting us at support@compliance.ai. Compliance.ai is committed to providing the documents you need. We follow hundreds of sources and add dozens more every month.

• News & Premium Content: Review documents published by news & premium content providers to receive broader coverage of the themes and trends you care about most. If you would like us to follow additional News & Premium Content Sources, click “Request More Info” and submit a suggestion or contact us at support@compliance.ai.

The Compliance.ai Diffing feature allows you to compare the differences between two documents. Simply select any two documents with the “Diffing” icon, and click the “Diffing” document icon (top left corner of results view) to view the differences between those two documents. Green highlighted text indicates it was added, and red indicates the text was removed.

Want to view the differences between two versions of one regulation, such as a Notice, Proposed Rule, and Final Rule?

Different versions of the same regulation can be found in the “Changes” tab on the right panel. When viewing the “Changes” tab, select any two documents in the tab to view the differences.

The Enforcement Explorer helps you stay abreast of enforcement documents issued by your default agencies. We extract key information from enforcements, including respondents, details on violations, and penalties, so that you can understand what’s occurring with your peer group without having to drill into each document. The enforcement graph also gives you a handy overview of the most active agencies over the previous months.

Features: 

• Review the enforcements graph to see the number of enforcement documents and penalties issued by the agencies you follow over the most recent month.
• Search within this view or simply access the page to see today’s enforcement document.
• Search by enforcement-specific data fields including: respondent, violation, and penalty amount.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Expert Connections, Related Documents, Tasks (Team Edition only), and Annotations.

Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

Enforcement Explorer: View

Enforcement Explorer: View

Exporting regulatory documents in HTML, PDF, or CSV is easy with Compliance.ai. Simply select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view to share documents in your preferred format or analyze document contents or meta-data in a spreadsheet.

Exporting

Search and select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view.

Export Details:

• You can only export 600 documents per day, so narrow your search to find the documents you need before starting the process. Once you have found your documents, click the Select checkbox on the left of the toolbar, choose the “Select all (up to 600)” link, and click the download icon.

• PDF & HTML files are downloaded individually within a single zip file. If you select a large number of files, you should expect that the process will take a few minutes.
• HTML files are only available for sentencified documents. The diffing icon indicates which documents are available in HTML. You can also filter for sentencified documents by choosing Document Properties = Diffing available within basic or advanced search filters. Once you’ve selected documents, click the Export button in your toolbar to see information on how many of your selected files can be downloaded in HTML format.

• There are two options for receiving CSV files.
  • Single document CSV files: Line-by-line CSV files that include each sentence within a single row on your spreadsheet are available for documents that have been sentencified. For efficiency, multiple CSV files are packaged within a zip file for delivery.
  • Multiple documents within a CSV file: If you want to export document meta-data without sentence-by-sentence content, you will receive data about all selected documents within a single CSV file.
• Selecting data for CSV download. Once you have indicated that you wish to download a CSV file, you will receive an overlay allowing you to choose the specific attributes to include in your file. Remember that selecting Sentences will construct individual CSV files for each document. 

• The CSV download will begin once you Select Export from the overlay. As a backup, we also deliver the file to you via email.

Common use cases for exporting documents

• Reporting: Get a high-level overview of all the attributes listed above, for all of the documents you have selected. Confirm a document’s workflow status, check whether or not a document has been “read,” and complete analysis such as reviewing trends in enforcement violations.
• Download fewer PDFs: Select PDF URL to generate a file with a list of direct links to the documents you are working on. Share with colleagues and review documents inside the platform.
• Analysis: Export Sentences, including obligation assessment to facilitate line-by-line document assessments.

Example

Let’s say that you’re searching for enforcement documents published between June 17, 2019 and June 16, 2020 by the CFPB, FDIC, OCC, and FRS that mention “bank.”

Your search would look like this:

Check the select check box and choose “Select all (up to 600)” to export all 232 documents in your preferred format.

Compliance.ai is designed to help you keep track of critical documents and collaborate with your colleagues. Establishing and sharing folders is a great way to manage documents you need to review together for a specific project.

Creating a Folder

You can create a folder by clicking the Add Folder icon on the Folders screen, or by using the “+ New Folder” feature when adding documents to a folder.

Adding Documents to a Folder

To add documents to a folder, simply conduct your search, select the documents you wish to add, and choose the Add to Folder icon in the toolbar.

Sharing Folders

To share a folder, click the share icon, then add email addresses from the drop down list in the overlay. Note that only members of your organization will appear in the list.

Reviewing Folders

To access documents you’ve added to a folder, click on the folder name within the Folders page, and the documents will be presented in the Search view. You can remove documents from the folder by selecting them in the search view, then selecting “Remove from Folder”.

Insights gives you a graphical view of document and enforcement trends across agencies and time periods. Check Insights to understand trends in enforcement activities, rule publication, and regulations so that you can focus your attention on the right agencies, document types, and legislation today, and reallocate your resources to address areas that you expect will require additional scrutiny in the future.

Insights Widget Details

Regulatory Activities: Synthesizes data to help you understand the volume and velocity of key document types published by agencies over multiple time periods.

Features: 

• View data over your preferred time period: This Quarter (most recent 90 days), Last Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
• Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Final & Proposed Rules: Presents a summary of final and proposed rules published by agencies over your preferred time period to help you plan resources.

Features:

• View data over your preferred time period: This Quarter (most recent 90 days), Last
  Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
• Select to view either All Agencies within the platform or just “My Agencies”, which you
  have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view

Enforcement Actions: Past 12 Months: Helps you focus on the most active agencies by providing a 12 month snapshot of enforcement documents published by all agencies or just the agencies you follow..

Features:

• Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Enforcement Action Violations: Review a summary of enforcements published over 18 months by type of violation and agency to gain an understanding of risk factors.

Features:

• Heat map highlighting the distribution of enforcement violations by agency.
• Select to view either All Agencies or just “My Agencies”, which you have selected in your Default Filters.

Financial Agency Trends: Dodd-Frank Act: Track final rules and enforcements related to Dodd-Frank over an extended period of time to understand the impact of this critical legislation.

Features:

• See an aggregated view of all rules and enforcements published by key agencies including: CFPB, FDIC, SEC, FRS, and OCC related to the Dodd-Frank Act.
• Hover to view document counts.
• Click on the graph to see documents included in the standard Search view.

Enforcement Action Explorer: Check enforcement actions published by agencies you follow over the past 7 days and compare against longer-term Insight widgets to get a sense of change in pace and velocity.

Features:

• Review enforcement action volume from agencies you follow over the previous 7 days.
• Hover to view document counts.
• Click on the graph to see documents included in the standard Search view.

 

Customizing Insights

You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.

To add or remove any of the widgets, click on the “Customize” dropdown list at the top right of the screen, and click the checkmark next to the widget’s name.

What is the Jurisdiction Analyzer?

The Jurisdiction Analyzer allows you to compare rules & regulations across jurisdictions. It may be helpful if you are expanding into new jurisdictions or lines of business. You can also set alerts to follow changes.

What are Concepts?

Concepts are high-level business topics.

What are Metrics?

Metrics are areas within a business topic that you may want to compare across jurisdictions.

What Jurisdictions can I choose from?

You may follow any jurisdiction available in Compliance.ai. Some jurisdictions may not have content for the concept and metric you select.

Using Jurisdiction Analyzer.

Step 1: Open the Jurisdiction Analyzer tab within Search Filters to begin your search. Select from the pre-defined list of Concepts and Metrics to create your search. Toggle on Default Filters to choose your standard jurisdictions or entering specific jurisdictions you wish to compare and click Search. Relevant document types are automatically selected for you.

Step 2: Review the map for a quick view of relevant documents by jurisdiction. You can click on the map to bring the country or state of interest into focus in the document area on the right of the screen.

Step 3: Scan documents to perform a jurisdiction-to-jurisdiction comparison. You can drag and drop to rearrange jurisdictions to facilitate this review.

Features:

• Select and add documents to Folders for later review and to share with colleagues.
• Send emails of up to 20 documents.
• Print up to 20 PDFs with a single click via the toolbar.
• Select and export documents in PDF, HTML, or CSV format. See Exporting Documents for details.
• Select to “diff” 2 documents. See Diffing for details.
• Select and add up to 10 documents to an existing workflow if you identify items requiring further analysis. (Available for Team Edition users only)
• Click to access the right panel view for any document. See for details.

The News screen allows you to see all agency and mainstream news documents relevant to your search. News helps you tap into information related to the rules, regulations and enforcements you review every day.

Features:

• View documents by publication date.
• Search within this view or simply access the page to see today’s documents.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Expert Connections and Tasks (Team Edition only).
• Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

You can access and review content categorized as obligations. These obligations are either automatically categorized as obligations by Compliance.ai (system-generated), or by users in your organization (user-generated). You can review the obligations to determine if they are relevant to your organization, add labels to map the obligations to your controls, annotate them using a rich text editor, and add links or attachments.

Team edition users can also complete related Obligation workflow tasks to determine applicability or risk of the obligations.

Users within an organization can add user-generated obligations to determine the relevance and risk of these additional obligations, and annotate them as needed.

This product guide will show you how to:

1. Search for documents with Obligations

2. Access system-generated Obligations and create your own Obligations

3. Add Obligation review to workflows (Team edition)

1. Search for documents with Obligations

To find documents that include Obligations, select "Document Properties = Obligations" within Search Filters.

 

2. Access system-generated Obligations and create your own obligations

When a document is selected, you will see the Obligations tab in the right-hand panel, which shows all system-generated and user-generated Obligations.

 

Selecting an Obligation navigates to the relevant section of the documents from which the obligation was classified.

 

You can also add new user-generated obligations to the document by highlighting a portion of the text and selecting the "Add Obligation" option. These obligations are organized sequentially based on where they appear in the text and are color-coded to depict which obligations are system-generated and which are user-generated. Any Obligation marked "Y," will allow you to then have access to the rich text editor to label, add attachments, and leave comments on the selected Obligation text. Team Edition users will also see Obligation Review tasks for any workflows to which the document is assigned listed for Obligations marked “Y.”

 

Note: All user-generated obligations for your organization appear in the Obligations tab. User-generated obligations are restricted to your organization only.

3. Add Obligation review to workflows (Team edition)

Team edition users can create workflows that include Obligation Review steps.

If a workflow with an Obligation Review step is added to your document, you will see the specific steps (including specific drop-down options, text fields and attachments) appear beneath each Obligation marked Relevant - Y.

Resource Navigation: The Resources Section provides a view of less frequently updated documents that you may use for reference such as CFRs, US Code, Public Law, State Statutes, State Administrative Code. We provide the documents in a familiar, easy-to-use accordion style format to help you quickly locate the specific document you need for your research purposes. 

If you wish to create a list view of all documents within a specific branch, click on the location, which you’ll find immediately above the accordion view. Clicking the location link collects all documents found within the branch and presents them in the Search view, allowing to leverage standard toolbar features, such as exporting in bulk, and establishing alerts.

All standard document functionality including Details (document meta-data), Changes, Expert Connections, Tasks, Annotations, Obligations are available for rules & regulations through the right pane.

 

Jurisdiction Analyzer: You will also find the Jurisdiction Analyzer within Resources, which will allow you to compare rules & regulations across jurisdictions.

Expert Connections: To help supplement your research, Compliance.ai provides you with links to experts who can provide guidance on critical industry topics and regulations. The experts can provide guidance in the form either of consultative services, or through access to their own premium content such as whitepapers, sample rules and guidance.

 

Managing Workflows

The Manage Workflow page allows you to add new workflows and rename, edit, or delete your existing workflows. Simply click the pencil icon to edit the workflow, use the trash can to delete a workflow that’s no longer needed, or click the +/- to view/hide workflow details on screen.

Compliance.ai’s Team Edition helps you oversee your organization’s access to the platform, enables you to manage roles within the system, and create teams that can participate in your workflows.

Once you have established your colleagues in the system, organization admins can determine the most appropriate role for each member of the organization, invite new members, and delete individuals who no longer need access to the platform.

Roles:

Compliance.ai keeps a comprehensive record of all actions taken on your tasks and workflows. Our reports are designed to help you keep track of all tasks assigned, with specific details of actions taken on each task, including task creation, assignment, and reassignment, comments added, drop down selections, attachments added and task completion. Each action is time stamped to ensure that you have a full, auditable history of all workflow activities in the system. You can export these reports during audits, for resource planning, and to report to executives.

 

Specific reports include:

Task Audit: Report includes a full task history of all tasks within the system over a specific time period. This report is designed to help you respond to audits and allocate resources. 

Features: 

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• A Certified version of the report, which includes a valid X.509 certificate. This provides proof that the document has not been altered.
• You can use the Export Template to leverage built-in pivot tables designed to highlight bottlenecks, velocity, pace and efficiency concerns related to your current workflows. This report can also justify the activities within the organization in terms of processes, rules, and policies within your organization. Simply copy your exported task report CSV file into the Excel template to review this information.

Sample: Certified Report

Sample: Task Report Template

Workflow Audit: This report provides details about one or more workflows created or edited during a specific time period. It is designed to help you monitor your workflows and track changes make in the workflows themselves over time, so that you are aware of any differences in how your team members are completing steps in their workflows for documents over time.

Features: 

• Export details for one specific workflow only or across all workflows.
• See any changes made to your workflows over time.

Obligation Audit: This report is designed to help you with your legal review of documents. Get a comprehensive report of all obligation-related tasks, including adding user-generated obligations, indication of whether an obligation has been deemed relevant (Y or N), drop-down values selected, comments, labels and attachments. 

Features: 

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• Provides comprehensive details on all actions taken related to obligations. This includes both actions taken on the document-level obligation task and task related to specific obligatory language within the document.

Task Audit - Snapshot: If you need to check the current status of all workflows/tasks, the Task Audit - Snapshot report is your solution. Simply select a specific time period created within a specific time frame without filtering through complete task history.

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• Provides an easy-to-digest current status of all tasks created during the selected time period. There’s no need to wade through rows of changes when you only need to understand the current state of your tasks.

The Timeline allows you to see all documents relevant to your search based on either publication date or key dates including comments close and effective dates. Because it defaults to today’s date it’s a great way to be sure you’re tracking the most relevant, recent documents.

Features:

• View documents by publication date or key dates including comments close and effective dates.
• Search within this view or simply access the page to see today’s documents.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Changes, Auto Summary, Expert Connections, Related Documents, Tasks (Team Edition only), Annotations and Obligations.
• Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

How do I know Compliance.ai sources are up-to-date?

Compliance.ai updates source data constantly -- we add thousands of documents every day.

For all our documents, there are links to the document's agency website, which you can use to verify accuracy and date information at any time.

To access that information, select the document you're interested in, by either clicking on its row, or selecting its checkbox.

On the right side of your screen, you will see its document summary panel.

Below the document title, there is a "View PDF" button. If you click the arrow to the right of that button, you will have the option to view that PDF on the agency website.

How do I know which sources I can find on Compliance.ai?

Check Default Filters > Regulatory Sources or access documentation on our public website to view a current list of agencies and jurisdictions.

How can I request new sources?

We'd love your input on sources you'd like to see added to Compliance.ai. You can make a source request by clicking the Request More Info link in Default Filters > Regulatory Sources and leaving a message, using chat within the platform, or emailing us at support@compliance.ai.

How can I share documents with my colleagues?

Compliance.ai is designed to help you collaborate with your colleagues, by using features like shared folders, alerts, annotations, and workflow capabilities. When you need to partner with a wider group, you can share documents with colleagues who do not have a license to the platform. Simply send the URL to the document you wish to share. The recipient will not have access to annotations and other collaboration capabilities, but they can access Compliance.ai's rich metadata through Compliance.ai's Basic User (free) platform.

How do I manage my subscription?

If you would like to add users or update your subscription, connect with our support team at support@compliance.ai.

What if my Compliance.ai data isn't loading?

If your network access is fine, but Compliance.ai won't load the dashboard, please send an email to support@compliance.ai to let us know of the issue. We will get back to you as soon as possible.

What are the requirements for Compliance.ai to run on my system?

We aim to ensure Compliance.ai works on a variety of Operating Systems and browsers.

The minimum requirements at this time are:

Operating Systems:

• Windows 7+
• Mac OS X

Browsers:

• Internet Explorer 11
• Safari iOS 9
• Chrome iOS 9.0+
• Chrome on Android 4.4+

How do I submit a bug or enhancement request?

We love feedback, and are eager to quickly resolve any issues you might be experiencing. Send an email to support@compliance.ai. We'll review the information and incorporate required fixes into a future release.

How do I schedule a training session?

For new licensed users, our support team is always happy to schedule a time to walk you through the entire platform. These onboarding sessions are divided into two sections: the first focusing on the platform as a whole, and for our Team Edition users, the second onboarding focuses on setting up your first Workflow.

How can I reach a support representative?

Our support team can be reached at support@compliance.ai or via the chatbot at the bottom right of the platform.