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Audit & Compliance

Configure compliance rules and audit settings to meet regulatory requirements and maintain audit trails.

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Understanding Audit & Compliance

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Compliance Rules

Compliance rules define requirements for:

• Data Retention: How long to retain data
• Access Control: Who can access what data
• Audit Logging: What to log
• Privacy: Privacy requirements (GDPR, etc.)
• Security: Security requirements (SOC 2, etc.)

Customization Tier: TENANT_DEFINED (you define all compliance rules)

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Audit Configuration

Audit settings control:

• Audit Logging: What actions to log
• Audit Retention: How long to retain audit logs
• Audit Access: Who can access audit logs
• Audit Export: How to export audit logs

Customization Tier: TEMPLATED_OVERRIDE (pack may provide defaults, you can override)

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Reason Codes, Hold Codes, Disposition Codes

Codes for categorizing operations: Reason Codes: TEMPLATED_OVERRIDE

• Pack provides reason code templates
• You can override or create custom codes

Hold Codes: TEMPLATED_OVERRIDE

• Pack provides hold code templates
• You can override or create custom codes

Disposition Codes: TEMPLATED_OVERRIDE

• Pack provides disposition code templates
• You can override or create custom codes

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Compliance Rules

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Creating Compliance Rules

1. Navigate to Admin → Audit & Compliance → Compliance Rules
2. Click Create Compliance Rule
3. Configure:
   • Name: Rule name
   • Description: Rule description
   • Category: DATA_RETENTION, ACCESS_CONTROL, AUDIT, PRIVACY, SECURITY
   • Severity: CRITICAL, HIGH, MEDIUM, LOW
   • Framework: Regulatory framework (GDPR, SOC 2, HIPAA, etc.)
   • Requirements: Rule requirements
   • Enabled: Enable/disable rule
4. Save compliance rule

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Compliance Rule Categories

DATA_RETENTION: Data retention requirements

• Retention periods
• Data deletion policies
• Archive policies

ACCESS_CONTROL: Access control requirements

• Role-based access
• Location-based access
• Time-based access

AUDIT: Audit requirements

• Audit logging
• Audit retention
• Audit access

PRIVACY: Privacy requirements

• GDPR compliance
• Data privacy
• Consent management

SECURITY: Security requirements

• SOC 2 compliance
• Security controls
• Encryption requirements

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Compliance Rule Status

Monitor compliance rule status:

• COMPLIANT: Rule is being followed
• NON_COMPLIANT: Rule is not being followed
• PENDING_REVIEW: Rule needs review
• NOT_APPLICABLE: Rule doesn’t apply

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Audit Configuration

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Configuring Audit Logging

1. Navigate to Admin → Audit & Compliance → Audit Configuration
2. Configure audit settings:
   • Enable Audit Logging: Enable/disable audit logging
   • Log Actions: Select actions to log (CREATE, UPDATE, DELETE, APPROVE, REJECT, etc.)
   • Log Users: Log user actions
   • Log System: Log system actions
   • Log API: Log API actions
3. Save audit configuration

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Audit Log Retention

Configure audit log retention:

• Retention Period: How long to retain audit logs (days)
• Archive Policy: Archive policy for old logs
• Export Policy: Export policy for compliance

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Audit Log Access

Configure who can access audit logs:

• View Permissions: Who can view audit logs
• Export Permissions: Who can export audit logs
• Access Logging: Log access to audit logs

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Reason Codes

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Understanding Reason Codes

Reason codes categorize operations (adjustments, movements, etc.). Customization Tier: TEMPLATED_OVERRIDE

• Pack provides reason code templates
• You can override or create custom codes

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Creating Reason Codes

1. Navigate to Admin → Audit & Compliance → Reason Codes
2. Click Create Reason Code
3. Configure:
   • Code: Reason code identifier
   • Name: Reason code name
   • Description: Reason code description
   • Category: Reason category
   • Active: Enable/disable reason code
4. Save reason code

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Using Pack Templates

1. View pack-provided reason code templates
2. Healthcare Pack Examples:
   • PATIENT_DISPENSE
   • EXPIRED
   • DAMAGE
   • RECALL
3. Retail Pack Examples:
   • SHRINK
   • CUSTOMER_RETURN
   • DAMAGE
   • THEFT
4. Use templates as-is or override

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Hold Codes

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Understanding Hold Codes

Hold codes categorize why inventory is on hold. Customization Tier: TEMPLATED_OVERRIDE

• Pack provides hold code templates
• You can override or create custom codes

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Creating Hold Codes

1. Navigate to Admin → Audit & Compliance → Hold Codes
2. Click Create Hold Code
3. Configure:
   • Code: Hold code identifier
   • Name: Hold code name
   • Description: Hold code description
   • Category: Hold category
   • Active: Enable/disable hold code
4. Save hold code

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Using Pack Templates

1. View pack-provided hold code templates
2. Healthcare Pack Examples:
   • TEMP_EXCURSION
   • CONTAMINATION_RISK
   • RECALL_HOLD
3. Retail Pack Examples:
   • DAMAGE_HOLD
   • QUALITY_HOLD
4. Use templates as-is or override

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Disposition Codes

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Understanding Disposition Codes

Disposition codes categorize how inventory is disposed of. Customization Tier: TEMPLATED_OVERRIDE

• Pack provides disposition code templates
• You can override or create custom codes

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Creating Disposition Codes

1. Navigate to Admin → Audit & Compliance → Disposition Codes
2. Click Create Disposition Code
3. Configure:
   • Code: Disposition code identifier
   • Name: Disposition code name
   • Description: Disposition code description
   • Category: Disposition category
   • Active: Enable/disable disposition code
4. Save disposition code

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Using Pack Templates

1. View pack-provided disposition code templates
2. Healthcare Pack Examples:
   • COMPOST
   • ANIMAL_FEED
   • DONATE
3. Retail Pack Examples:
   • LIQUIDATE
   • DONATE
   • SCRAP
4. Use templates as-is or override

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Audit Logs

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Viewing Audit Logs

1. Navigate to Admin → Audit & Compliance → Audit Logs
2. Filter audit logs by:
   • User: Filter by user
   • Action: Filter by action (CREATE, UPDATE, DELETE, etc.)
   • Resource: Filter by resource type
   • Time Period: Filter by date range
3. View audit log details

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Audit Log Details

Each audit log entry includes:

• User: Who performed the action
• Action: What action was performed
• Resource: What resource was affected
• Timestamp: When the action occurred
• Details: Additional details about the action
• IP Address: IP address of user
• User Agent: Browser/client information

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Exporting Audit Logs

1. Filter audit logs as needed
2. Click Export
3. Select export format (CSV, JSON)
4. Download audit log export

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What Success Looks Like

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Compliance Success

• ✅ Compliance rules properly configured
• ✅ Compliance status monitored
• ✅ Compliance requirements met
• ✅ Compliance reports available
• ✅ Compliance documentation complete

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Audit Success

• ✅ Audit logging enabled and working
• ✅ Audit logs retained per requirements
• ✅ Audit log access controlled
• ✅ Audit logs exported for compliance
• ✅ Audit trail complete

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Common Pitfalls

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1. Not Configuring Audit Logging

Problem: Not enabling audit logging or not logging required actions. Solution: Configure audit logging:

• Enable audit logging
• Log all required actions
• Configure retention periods
• Set up export processes

How to avoid: Make audit configuration part of initial setup.

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2. Not Using Reason/Hold/Disposition Codes

Problem: Operations performed without proper codes. Solution: Use codes consistently:

• Require codes for operations
• Train users on code usage
• Review code usage regularly
• Update codes as needed

How to avoid: Make codes required in workflows.

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3. Not Monitoring Compliance Status

Problem: Compliance rules configured but not monitored. Solution: Monitor compliance status:

• Review compliance status regularly
• Address non-compliance issues
• Update compliance rules as needed
• Document compliance activities

How to avoid: Make compliance monitoring part of regular admin tasks.

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4. Not Retaining Audit Logs Long Enough

Problem: Audit logs deleted before retention period. Solution: Configure proper retention:

• Set retention periods per requirements
• Archive old logs instead of deleting
• Export logs for long-term storage
• Review retention policies regularly

How to avoid: Review retention requirements before configuring.

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Troubleshooting

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Audit Logs Not Recording

Symptoms: Actions occurring but not recorded in audit logs. Possible causes:

1. Audit logging not enabled
2. Action not configured to log
3. System error
4. Permissions issue

Steps to resolve:

1. Verify audit logging is enabled
2. Check action is configured to log
3. Review system logs for errors
4. Check user permissions
5. Contact support if issue persists

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Compliance Rule Not Working

Symptoms: Compliance rule configured but not enforcing requirements. Possible causes:

1. Rule not enabled
2. Rule configuration incorrect
3. System not enforcing rule
4. Rule dependency issue

Steps to resolve:

1. Verify rule is enabled
2. Review rule configuration
3. Check system enforcement
4. Review rule dependencies
5. Test rule functionality

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Reason Codes Not Available

Symptoms: Reason codes not showing in operations. Possible causes:

1. Reason codes not created
2. Reason codes not active
3. Permissions issue
4. Filter hiding codes

Steps to resolve:

1. Verify reason codes are created
2. Check reason codes are active
3. Verify user permissions
4. Remove filters

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Related Pages

• Admin Overview
• Customization Model
• Configuration Map

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Permissions & Roles