Guest Contributor

The Best Ways to Evaluate a Compliance Case Management Software

By | Giovanni Gallo | Co-CEO of ComplianceLine

Compliance case management software is essential for any business to keep track of and organize company issues and risk reports. These programs not only help you retain important information, but they also store it in one location, making it easy for your compliance team to access the days they need.

However, not all compliance case management programs are created equal. Business leaders need to choose their software carefully so they can get the greatest benefit for their organization.

But how do you know if your compliance case management software is good enough? Let’s talk about what you should be looking for in your company’s case management program.

Why You Need Compliance Case Management Software

Before we can discuss how to evaluate case management software, it is important to understand why this evaluation matters. Compliance case managementsoftware uses processes to adhere to and govern guidelines specific to your industry.

With this in mind, it is paramount that you take your time and find the right compliance case management software for your business’s specific needs. A program that works for a law firm may not be as effective as a retail company or a marketing agency. By evaluating different aspects of potential case management systems, you can find the software that will best serve your company.

Things to Consider in Your Compliance Software

Your Business’s Needs

Case management software can help your business in a variety of ways. It can help you keep track of compliance training programs and their success rate within your organization. It can collect and store notes from your ethics hotline on incidents of non-compliance. It can even store information related to employee investigations in one safe place.

But the true question is: can the software do what YOU need it to? To find out, you need to first determine how your organization will use the software. Once you know how you plan to use a case management program, you can find a software that best aligns with your purposes.

Your Budget

Cost is often a key deciding factor in running a business, and case management software is no exception. How much are you willing to spend on this software?

Case management software can come with many different costs beyond the initial software purchase. There can be fees for setup, data migration, training, maintenance, and much more. You may also incur monthly or annual costs if you opt for a cloud-based system. Keep these things in mind so you can find a software that suits your budget.

Cloud vs. Server-Based Software

We just briefly touched on cloud based case management software, so let’s discuss this option a little more deeply. There are two types of case management systems available today: cloud-based, which stores data at a remote location, and server-based, which stores the data in-house.

Each of these systems has its own pros and cons. For example, cloud-based systems are great for a remote workforce, as you can access the files from anywhere. However, server-based systems have long been seen as more secure than their cloud-based cousins (though that view is beginning to change).

Making a choice between these two options comes down to your organization’s needs. Just make sure you give yourself time to review both options so you can make a truly informed decision.


No matter what kind of business you run, proper security is key to your success. Before you select a case management software, you need to thoroughly vet the vendor and see how they will keep your data secure.

Make sure that all security measures meet the compliance standards for your industry. Review the vendor’s track record with security issues like data breaches or attempted hackings. Don’t make any decisions until you are confident that the company you choose will be able to protect all your information.

Device Integration

These days, many employees use their personal devices (laptops, smartphones, etc.) to get things done at the office. And as the remote work movement continues to build momentum, many employees do all their work on their personal devices all over the country! Therefore, it is important that your case management software works with a variety of devices and operating systems.

User Experience

One of the great things about case management software is the fact that anyone in your organization can access it. However, this is only a great thing if the program is easy to use.

There are many elements that go into the “user experience” for a software. Everything, from the time it takes to log in to the ability to add notes or create an invoice, must meet your company’s needs! Make sure you ask for a thorough demonstration of the software, and even play around with it on your own to determine if it’s easy to navigate.

Employee Training

In some cases, your new software may require extra employee training. These programs may be more in-depth than others, or they may have an interface that requires a learning curve. As a business leader, your job is to determine whether the software is worth the cost of training — and if it is, how that training will be done.

Does the case management software come with a training module? Will you have to design your own curriculum? Ask your vendor and get as much information as you can so you can make an informed choice.


Even if you find the best case management software on the market, eventually you’re going to need tech support. In those moments, it definitely pays to work with a vendor who values customer service!

Does your case management software vendor offer 24/7 support? How responsive are they to customer complaints? What do their clients say about working with this vendor? The answers to these questions can tip the scales toward one vendor or another.


It is highly unlikely that you will do ALL your work through your case management system. Employees will still need to access other programs like Microsoft office, their email servers, and others. Therefore, your case management software needs to be compatible with these other programs — or at least be easy to cut and paste.

If you carefully examine your potential case management software for these elements, you will be able to find the right program for your business. And once that software is set up and ready to use, your organization can enjoy the benefits of organized, accessible, and easy-to-find data.

Author Bio:

Giovanni Gallo is the Co-CEO ofComplianceLine, where his team strives to make the world a better workplace with compliance hotline services, sanction and license monitoring, and workforce eLearning software and services.

Growing up as the son of a Cuban refugee in an entrepreneurial family taught Gio how servanthood and deep care for employees can make a thriving business a platform for positive change in the world. He built on that through experience with startups and multinational organizations so ComplianceLine’s solutions can empower caring leaders to build strong cultures for the betterment of every employee and their community.

When he’s not working, Gio’s wrangling his four young kids, riding his motorcycle, and supporting education, families, and the homeless in the Charlotte community.

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