Compliance Alerts

What is a Compliance Alert?

A Compliance Alert is an automatic notification that flags a potential risk, violation, or concern related to regulatory, ethical, or internal policy standards within an organization. These alerts help ensure that issues such as patient safety, data privacy, workplace misconduct, or other compliance-related concerns are identified and addressed quickly. Compliance alerts are designed to support early intervention, documentation, and corrective action which can reduce legal risk and promote a culture of accountability and safety.

Compliance Alert Workflow

1. Alert Generated

   1. A Compliance Alert is automatically created based on feedback from a CheckUp Call or Employee Survey

2. Monitoring

   1. The Compliance Champion either:

      1. Reviews alerts as they come in via email notifications, or

      2. Logs into Cortex daily to review new alerts in the Inbox

3. Initial Review

   1. Open the alert and review the details to understand the concern and context

4. Determine Status

   1. Has the issue already been addressed internally?

      1. Yes:

         1. Add a brief summary of what was done in the Notes

         2. Select an outcome on the opportunity

         3. Archive the alert

      2. No:

         1. Take appropriate action or delegate follow-up to the correct team member

         2. Record actions and outcomes in the Notes

         3. Select an outcome on the opportunity

5. Resolution & Documentation

   1. Keep the alert open (do not archive) until:

      1. Follow-up is completed, and

      2. The outcome is fully documented in the Notes

6. Close-Out

   1. Archive the alert once the issue is resolved and documentation is complete