Tracking action, deadlines and decisions

1. Regulatory Concept & Core Standards

This video focuses on how to maintain control of the case and communications throughout follow-up. Follow the sequence of decisions in the example rather than simply memorising a list. Notice who is involved, what information is needed and the expected result. These points help turn the content into a practice that another person can verify. Handling a report requires continuity: each stage must leave enough information for the next. This course follows the team's work, distinguishing case administration, factual analysis and communications with the reporting person. The examples concern internal channels.

Every action needs a purpose, an owner and a recorded result. Information to the reporting person does not depend on completion of the investigation. For internal reports, communicate measures planned or taken and the reasons within three months of receipt. This period does not authorise inactivity until the last day or require disclosure of confidential third-party information.

National rule: For the internal channel, notify the reporting person of receipt within 7 days. Communicate the measures planned or taken and the reasons for them within 3 months of receiving the report. If the reporting person requests it, communicate the outcome within 15 days of completion. The 3-month period is not a general deadline for completing the investigation.

2. Practical Implementation & Procedure

Use a record of outstanding actions, dependencies and dates. Anticipate delays and reassess measures. Prepare factual feedback without promising an outcome not yet reached. The reporting person may request information on the assessment outcome, which must be communicated within 15 days after conclusion under article 11. Before moving on, turn this procedure into a sequence you could explain to a colleague. Identify the first check, the action that depends on its outcome and the record that allows the decision to be reconstructed. Follow the sequence on screen and identify the point where an error would change the result.

3. Case Study & Compliance Action

As the deadline approaches, an external technical response is still outstanding. The team has reviewed documents and planned further checks. It communicates those measures and their reasons appropriately, instead of merely stating that the case remains under review. Now read the case carefully. Separate established facts from information you would still need to confirm. Do not add motives or events that have not been described. This distinction matters when choosing a response proportionate to the information available.

The exercise is as follows: Is it enough to say ‘we are dealing with it’ without explaining measures or reasons? Choose an answer and write one sentence explaining it. During the pause, compare your choice with the criteria we have just considered. Also think about the material you would retain to explain the decision later.

An empty formula does not ensure that the required information is provided. Describe measures planned or taken and the reasons for them while protecting information that cannot be disclosed. The appropriate detail depends on the case and applicable limits.

One mistake to avoid is: confusing a communication deadline with a mandatory deadline for concluding the investigation.

The platform uses a fixed 90-day period for every country, starting when someone opens the message. Can this setting be retained?

Not without validating the local rule. Use the correct starting event and unit, distinguish acknowledgement from follow-up and allow only permitted extensions. Test receipt outside working hours, month-end dates and the responsible person's absence. Opening a message does not automatically change the legal date of receipt.