Investigate violating cases
After defining and operationalizing controls in the Compliance Center, we often need to identify and review the cases that violate these rules. To facilitate this inspection, we can quickly view, filter, and investigate cases that have failed compliance checks. This is done in the Violations page.
To access the Violations page, open the Compliance Center from the Portal. From the GRC Register, we can see the defined controls such as “Segregation of Duties”, “Decision-to-approval within KPI”, and “CAD Validity”.
After these controls are created and operationalized, Apromore automatically runs compliance checks on the associated logs. To view the cases that did not meet these compliance rules, open the Violations page.
Note
To access the Violations page, the “Manage violations” permission must be enabled.
The Violations page displays all recorded violations from recent compliance checks. Each row represents a specific Case that failed one or more Controls, along with key details such as:
Log name
Control name
Case ID
Date of violation.
Note
The violations page displays all violations across all controls recorded in the compliance center. This means we can see violations from checks performed by other users, even if we do not have direct access to the related controls or event logs.
To focus on specific violations, we can filter the list of displayed violations. Violations can be filtered by Log, Control, or a combination of both.
To filter by log, click Add filters > Log.
Click the Log dropdown.
Select one or more logs to include and click Select.
The list updates to show violations only from the selected log(s).
We may also wish to filter by controls. Click Add filters and select Control.
Click the Control dropdown.
Apromore displays all saved controls. Select one or more controls.
The list updates to show only violations related to the selected controls
We can also apply both Log and Control filters together to further refine the results.
To investigate a violation, double-click a case from the list. For example, under the CAD Validity control, we may wish to review the events that occurred in Case 2249. Double-click a row to investigate the case violation.
The Case Investigation page provides a summary of the compliance results for the selected case.
In this example, the control template contains three conditions, and none of the conditions were met. This means that the Loan Amount and CAD level values did not meet the defined criteria.
In the Case data section, we can see the specific values that led to the violation. Here, the loan amount for the case was 287K, while the CAD level was 2. However, according to the control definition, the CAD level should have been 1.
Each condition in the control template can be inspected in detail. To see the data that caused a specific condition to fail, click the corresponding condition. For instance, “CAD is equal to 1.”
The Case Data view updates to show all activities where the CAD Level equals 2, highlighting the cause of the violation.
By default, the Case Data section displays both the affected rows and columns related to the violation.
We can customize this view as follows:
Show only affected rows: select Rows.
Show only affected columns: select Columns.
Show the full case: deselect both Rows and Columns.
For instance, if we wish to view only the affected rows, select Rows.
To display only the affected column, select Columns.
To display the entire case, deselect both Rows and Columns.
