Third-Party Due Diligence & Compliance Case Management
Manage regulated third-party due diligence through screening, reviewer routing, certification and auditable case closure.
The solution automated multiple anti-corruption and due-diligence processes for a global pharmaceutical group using a reusable case-management model. Source material covers Standard Due Diligence, HCP Sponsorship, HCP Assessment, Medical Research Due Diligence, Grants & Donations and Small Unsolicited Donations.
Business challenge
- Different due-diligence processes required consistent case handling and reusable workflow patterns.
- External-party data, screening results and reviewer decisions needed to remain tied to one case lifecycle.
- Compliance, legal, management and affiliate roles required controlled routing, worklists and case history.
Para approach
- Initiate a case and assign a persistent case ID.
- Capture external-party and service context.
- Run validation and restricted-party screening.
- Collect questionnaires, certifications and supporting artifacts.
- Route review through compliance, legal, management and other required roles.
- Close the case with generated certification, status history and audit evidence.
How it works
Source-grounded due-diligence case-management lifecycle. Evidence: solution design specification, K2 technical design and mockups covering standard due diligence, HCP, medical research due diligence, grants and donations, screening, review, case history and certification.
Case Initiation
Validation / RPS Screening
Questionnaire / Artifacts
Compliance Review
Legal / Management Review
Certification / Closure
Delivered capability
Reusable case management
Common case ID and lifecycle across multiple due-diligence processes.
Validation & screening
Certification validation, restricted-party screening and batch or full external search.
External party interaction
External questionnaires and artifact submission.
Role-based review
Compliance, legal, management and HCP or secondary reviewer paths.
Case worklists & history
Assigned tasks, case status and historical actions.
Certification & audit
Generated certification documents, close status, archival metadata and reporting.
Evidence-supported outcomes
Controlled case lifecycle
A consistent path from initiation through screening, review, certification and closure.
Reviewer accountability
Clear routing and case or worklist visibility across responsible roles.
Reusable compliance pattern
Common case management supports several regulated processes.
Traceable evidence
Case history, generated documents and reporting support audit-oriented operations.
Technology & delivery context
Historical K2 workflow, ASP.NET workflow and external-party forms, a SharePoint portal and libraries, SQL data stores and generated certification documents using OpenXML. This is a historical case; it does not describe current product packaging or a current technology baseline.
Have a similar enterprise challenge?
Para can assess the current state, define the business and information model, shape the architecture and delivery approach, and move from business need into implementation and ongoing operations.