Case Manager User Manual

28 April 2022
 EQS Integrity Line User Manual

AGENDA

Who is this manual for?

This document is for case managers aiming at answering their most frequently asked questions around
how to investigate compliance cases with the help of the EQS Integrity Line.

What does the content include?

The manual gives a comprehensive overview of the system for both Reporters and Case Managers. It
comprises of the Reporting Channel where reporters can submit compliance cases and the Case
Management System allowing case managers to handle those. While not every single feature will be
explained in detail, this document focuses on the most used functions there are.

Please note that this manual consists of all features available in integrity line while your individual solution might only contain a subset.

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 EQS Integrity Line User Manual

EQS Integrity Line - Overview

Reporter Company
Employee Compliance
HR
Supplier Audit
Compliance
Client HR
Audit

The system consists of two parts, a secure reporting channel for reporters and an integrated case management for case
managers to receive and handle incoming cases. Secure connections on both ends enable anonymous communication
between the parties.

EQS Integrity Line Overview | CONFIDENTIAL 3

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Key Components
The EQS Integrity Line consists of 2 key components :
1. Reporting Channel: The secure reporting channel, where the reporter can submit a report to the company.
2. Case Management: Integrated Case Management, where the case managers handle reports, can communicate with
the reporter and admin users can configure the system, manage users etc.

1
2

Key Components | CONFIDENTIAL 4

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Section 1: Reporting Channel

Reporting channel | CONFIDENTIAL 5

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Reporting Channel Overview

• When there is a misconduct observed in the
company, the reporter can report the incident in
the company’s reporting system
• The user can choose the country and the
language and then file the misconduct.
• The interface consists of 6 main tiles – the two
most important of them are:

1 2 1. Make a Report : The reporter can click on “Go to

Reporting” to file a report that has occurred in
their company

2. Secure Inbox : A secure channel between the

reporter and the case manager for anonymous
communication by a reporter

Reporting Channel Overview | CONFIDENTIAL 6

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Make a Report (1)

2 1. In this section, the reporter can enter

information about the incident. The fields in
the questionnaire are customizable.

2. The reporter also has an option to :

1 Record a sound clip which will be encrypted

and obfuscated

Attach any documents related to the

misconduct

Upload pictures from their phone gallery etc.

Make a Report | CONFIDENTIAL 7

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Make a Report (2)

1
1. Contact Information:
• The reporter has an option to stay
anonymous or fill in the required name and
contact details while filing the report
2. Secure Inbox:
• The reporter creates an anonymous inbox
2
through which they can communicate with
the case manager in a secure and
anonymous way
• The inbox requires setting a PIN code
through which the reporter can access it
3. Once all the necessary details are entered,
confirm the privacy policy and click on Send

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Make a Report | CONFIDENTIAL
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Make a Report (3)

1. Once the report is

submitted, the reporter
is asked to solve a
2
simple math problem to
confirm they are not a
robot
2. The Reporter is provided
1
with the Case ID
3. As soon as the report is
filed, the Case Manager
receives an email about 3
a new case that has 3
been filed

Make a Report | CONFIDENTIAL

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Secure Inbox

1. Reporters can log into the secure inbox to check for messages
2
from the Case Manager or submit additional information.
2. The reporter has to enter the PIN Code to log into the Inbox
3. The messages from the Case Manager and the ones from the
reporter are displayed in the inbox.
Secure Inbox | CONFIDENTIAL 10
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Section 2: Case Management

Case Management | CONFIDENTIAL 11

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Integrity Line Dashboard

1
2

After logging into the Case Management System, the case manager can see 2 main components:
1. Dashboard: Showcases a graphical overview of all the cases in the system. All the charts can be downloaded in various
formats : PNG, JPEG, PDF and SVG vector image
2. Personal Dashboard: Showcases an overview of issues with recent activities and pinned issues

Case Managers will only see cases/statistics which they have been granted access to. Those access permissions are based on the countries and folders a
case is assigned to (E.g., a specific German case manager might only have access to German cases while another case manager can only see, and access
cases reported in France in the folder HR).

Integrity Line Dashboard.| CONFIDENTIAL 12

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Dashboard Reporting 1

1. In the Dashboard, the case manager can view, print

or create PDF reports for a specific date range. All
graphs automatically adjust their values based on
the selected date range

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2. Clicking on any button takes you directly to your or
all cases filtered by their progress (e.g., assigned to
me and pending)
3. Each graph can be downloaded in various format
such as PNG, JPEG, PDF and SVG Vector image

Dashboard Reporting.| CONFIDENTIAL 13

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Deep Dive (1)

1. The deepdive enables case managers to create
more granular and individualized reports where
they can check the case status, responsibilities,
outcomes etc. by selecting grouping options

2. The displayed report will then be based on the

selected grouping options. In this example Deutschland
(Germany) was chosen and grouped by responsible
persons. We can now see how many German cases a 2
specific case manager is responsible for

Deep Dive | CONFIDENTIAL 14

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Deep Dive (2)

3. You can drill down even further

by selecting an additional
grouping option
3

4. At any level of detail, it is then possible to view all cases for which
5
the selected grouping options apply by clicking “click to see all issues”
which will display them in a list below

5. In this example we can view all German cases for which the case
manager Test Testersen is responsible based on their classification.

Deep Dive | CONFIDENTIAL 15

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Cases
1
1. Search in cases for keywords and
metadata
2. Clicking on ‘My Pending’ opens the cases
2
assigned to the logged in case manager

3. Clicking on a specific case opens the case

management portal where the report filed by
the reporter is displayed to the case manager.

Cases | CONFIDENTIAL 16
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Case Details
Case Tabs

Sidebar

Initial Case
Report Activities

Case Details | CONFIDENTIAL 17

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Sidebar (1)
1. The initial report is displayed here. This area cannot
be edited by the case manager
2. General case data:
a. Short Description of the case (editable)
2
b. Country where the misconduct occurred
(editable) – note that case permissions are
associated with countries
c. Author (source of the report)
i. Website report: “the report has been
reported through the app”
ii. Call center report: “The report has been
reported through phone hotline”
iii. Manual report: The report has been
reported manually by XYZ ([email protected])
using the "Create new issue" functionality
1 d. WB CaseID (external case ID for the reporter)
e. First Read date
f. Published Date (reporting date)
Sidebar | CONFIDENTIAL 18
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Sidebar (2)
1. Responsible : The person who first accesses
the case gets automatically assigned as the
‘Responsible Case Manager’
• The Case Manager can be changed by
clicking on the icon beside
‘Responsible’
1
• All case managers will be displayed,
and the designated one can be
selected from here
2. Classification :

2
• The Case Manager can select a
2
classification for the case
• ‘Classification’ refers to the category
to which a report belongs to and can
be used for reporting purposes.

Sidebar | CONFIDENTIAL 19
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Sidebar (3)
Folders
Incoming reports are assigned to a folder. The permissions
of case managers are based on these folders allowing them
to access only cases on which they have been granted
permission rights to.
Example: If your system has two folders “Compliance” and
1 “HR”, a case manager with permissions only for “Compliance”
would not be able to see reports put into the folder “HR”.

HR

2 Compliance
2
Each report is automatically assigned to a default folder
after submission. The default folder is defined within the
1. Assigned Folders: Each case is assigned to a folder making it accessible mobile form.
to the subset of case managers with permissions on the folder. You can
change the assigned folder by clicking here.
Sidebar | CONFIDENTIAL 20
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Sidebar (4)
1. Attached Files : If the reporter has
attached any files, those details will be
displayed here
2. Reminders: Custom reminders can be
set by the Case Manager
3. Interlink Issues: If there are logically
1
connected cases or duplicates, they can
be interlinked

1 2

3
Sidebar | CONFIDENTIAL 21
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Workflow Status
1. Workflow statues can be created to specify the current
status of a case that is being worked upon by a Case
1 Manager. Click on ‘Add New’ to create a new Workflow
status

3
2. Enter a new name for the status
3. Under a specific case, click on the gear icon
and select the required status
4. The selected status is displayed under
‘Workflow Status’
4

Workflow status| CONFIDENTIAL 22

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Casework
1

1
2

1. The Casework tab acts like a journal for the Case Manager. Additional
files, information etc. can be entered here and an email alert is received.
2. Case Managers can attach files in common file formats (e.g., excel,
word, PDF, JPG, PPT etc.) which can also be downloaded

Casework | CONFIDENTIAL 23
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File Detox and Malware Prevention

Reporter’s view Case Manager’s view

• Normal antivirus programs do not protect against zero-day viruses. Therefore, we have developed our own system
“File Detox” that cleans the files uploaded in the system.
• File Detox creates a mirror of the original file where only information that is known to be safe is copied to.
• For example:
• Document files (e.g., word) into a new pdf document.
• Sound files (e.g., mp3 files) into a new mp3 file.
• Image files (e.g., jpg and png files) into a new jpg file.
• This process removes malicious content from the files.
• Furthermore, meta data which might expose the identity of the reporter is removed from the file during the
detoxing process (e.g., author, creation date).
File Detox & Malware Prevention | CONFIDENTIAL 24
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Internal Communications
1. The Internal Communications Tab helps in
1 establishing communication between the case
managers and other departments.
2. The entered comment is displayed at the
bottom of the page and the case managers
also have an option to attach any additional
files to the case
2

2. The Case Managers can tag other case managers to

engage in a conversation or distribute tasks
3. An email is triggered to the tagged Case Manager
3
as an alert when tagged in a comment

Internal Communications | CONFIDENTIAL 25

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Secure Inbox (1)

1
1. The Case Manager can
communicate with the reporter via
the Secure Inbox
2 2. There is also an option to translate
the Case Managers message to the
language of the reporter.
3. Once the message is delivered, the
same is displayed at the bottom of
the screen
4. The red envelope icon shows that
4
the reporter did not yet read the
message
3

Secure Inbox | CONFIDENTIAL 26

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Secure Inbox (2) - Reporter View

• The message from the Case Manager is

displayed in the secure inbox of the reporter
after logging in through the reporting channel.
The reporter can respond via text, audio or
attach any additional documents to the report

Secure Inbox | CONFIDENTIAL 27

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Secure Inbox (3)

1. Once the reporter enters their information, the Case Manager receives an email (based on
their notification settings) and can view the message in the Case Management.
2. The letter icon has turned green, indicating that the reporter has viewed the Case
Manager's comment
Secure Inbox | CONFIDENTIAL 28
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Activity Log
1. The Activity Log showcases all the activities
that occurred in the designated case
1
It lists:
• comments
• the name of the case manager
who created the comment
• the number of times the case or
any specific tab has been viewed
• any changes made to the case
• the first case manager assigned
to the case
• deleted cases

Activity Log | CONFIDENTIAL 29

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Anonymize Issue
1

4
5

Anonymize Issue | CONFIDENTIAL 30

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Anonymize Issue

1. To Anonymize an issue, the case manager first clicks on “ Anonymize Issue”

2. The Case Manager is notified that they need to go through each tab to ensure that personal
information is removed manually. All files (audio, pictures etc.) are removed from the case
3. Once all personal information is removed from the case, click on ‘Save Anonymous Changes’
4. The Case Manager can toggle between the original case and the anonymized case
5. Once the required anonymizations are complete, click on “Complete Anonymization”. The Case
Manager does have an option to edit the anonymizations again at a later stage

Anonymize Issue | CONFIDENTIAL 31

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Case Activities

• Case activities showcase all the various features that are available to a Case Manager based on their individual
permissions (e.g., only a case manager with rights to delete a case will see the respective button)
• These consist of translations, audit logs, access controls etc.
Case Activity | CONFIDENTIAL 32
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Delete issue

1. Delete Issue: Permanently deletes the issue from the case management. All case data herein is
deleted, and the Issue will no longer be visible in the System. However, metadata such as classification,
conclusion etc. is kept making it possible to generate reports on Issues that have been deleted in the
System.

1
Case Activity | CONFIDENTIAL 33
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Request Translation

2. There are 2 types of Translations available:

• Human Translation : The content will be translated by a human through remote desktop access
• Machine Translation : The content can be machine translated to a number of different languages
When using machine translation, the phrase to be translated is encrypted and sent to the Azure Translator. The service translates the
phrase into the desired language, encrypts it and sends it back instantly.

Request Translation | CONFIDENTIAL 34

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User Access and Audit Log

3. User Access: Clicking the “User Access” button opens a 4. Audit Log: Clicking the “Audit log” button opens a
window showing a list of the Users who have access to the historical log containing all events related to the
specific Issue. specific case.
By selecting one or more Users and clicking the Save button, the 4
selected Users will gain or loose access to the specific case. It is
possible to add Users without Folder Access to an issue. Select the
relevant User under “Users without folder access” and click the Save
button. This will forward the case permission rights to them.

3 Case Activity | CONFIDENTIAL 35

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Download and move issue to done

5. Download: An encrypted and password protected 6. Move to Done: Once the case is completed, it can be
zip file with all issue information will be generated when moved to a conclusion as per the outcome of the case. The
the user clicks on “Generate report”. When the file is Case Manager can choose to send a mail about the
ready for download, they will receive an e-mail with the completed issue to any of the case managers and/or to the
download link and zip password reporter

Case Activity | CONFIDENTIAL 36

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Generate PDF

7. Generate PDF: Based on the PDF templates, a PDF can be generated regarding the issue or the overview. An
Excel file regarding the case and its communication can also be generated.

• The Case Manager can configure the details that need to

be populated in the PDF via ‘Add new PDF Template’
feature present in the Menu*

Case Activity | CONFIDENTIAL 37

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Additional Case Intake - Create New Issue

The Case Manager can create a new issue from their end as well. This occurs during the situations where the
information from the reporter has been passed on directly to the Case Manager without the reporter entering the
details in the Reporting Page (e.g., ombudsman, physical letter)

Create New Issue | CONFIDENTIAL 38

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Additional Case Intake - Email Cases

1
1 1

1. The emails that were sent directly to the

system’s email address are displayed here.
2. The Case Manager can click on “confirm issue” to
create a new case out of the email.

Email Issues | CONFIDENTIAL 39

Thank You

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