1. Navigating to the Reports page

Click on the Reports menu option of the left panel menu to get redirected to the Reports page.

Fig: 1 - Reports menu

Here is the view of the Reports page. There are nine reports provided currently.

Fig: 2 - Reports page

2. Using the Weekly Reports

Here is the view the card related to the Weekly Reports. The following screenshot is indicated with numerical values which correspond with the following two points:

1. Date range selection filter - This dropdown lets you choose any one option from the listed ones or lets you set a custom date range.
2. Download option lets you obtain a local copy of the generated report based on the selected date range.

Fig: 3 - Elements of the Weekly Reports card

Here is the expanded view of the date selection dropdown options. Choosing the Last Week option gathers information of the activities pertaining to the previous week, while choosing the This Week option gathers information of the activities pertaining to the current week. This feature ensures consistency in weekly reporting and speeds up the process of generating reports.

Fig: 4 - Expanded view of the date selection dropdown options

The following image displays the visibility of the Date Range field which loads after you select the Custom option.

Fig: 5 - Date Range field loads on Custom option selection

The following image displays the visibility of the calendar which loads after you click on the Date Range field. Click on the preset options on the left of the calendar or click twice on the calendar dates to set your own custom date range.

Fig: 6 - Calendar to set custom date range

After choosing a default dropdown option, or setting a custom date range, you can click on the Download option to proceed to get a local copy of the generated report. The system analyzes weekly activity and highlights the most critical items that need attention. This includes:

• Flagging anomalies or unusual trends.
• Identifying underperforming areas.
• Surfacing urgent tasks or issues. This helps users focus on what matters most without sifting through all the data.

Fig: 7 - Download option

AI generates a concise, concise summary of key actions and trends from the past week. The report is crafted with simplicity in mind to ensure that users of all technical backgrounds can understand the insights. With access to data, your team members are now empowered to make informed decisions. After you click on the Download option, a pdf copy of the generated report gets downloaded.

Fig: 8 - Clicking on the Download option initiates the PDF copy downloading

Here is the view of the sample contents of a generated Weekly Reports PDF file. The file is titled as 'Weekly Compliance Summary Report' if the current or last week date range is chosen, otherwise the file is titled as 'Compliance Summary Report' when a custom date range is chosen for report generation.

Fig: 9 - View of the generated sample Weekly Report

3. Using the Audit Reports

Click on the View All option of the Audit Reports tile on the Reports page, to proceed to navigate to the audit report.

Fig: 10 - Option to navigate to the report

Alternatively, you can click on the Past Audits button at the top right of the Audits page, to proceed to view the audit report. A user can view audits that they have created or audits where they have been assigned as an auditor or a recipient.

Fig: 11 - Past Audits button

Consider this report screen as a combination of dashboard and grid view, where you can view drilldown of past audits, as well as search for past audits.

Fig: 12 - Past Audit Reports view

Let us illustrate the three sections which are present:

3.1. Audits by Category

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This section shows a pie chart illustration to represent the number of audits per audit category. There are four different types of audit categories as follows - Cyber Security, Operational, Financial and Custom.

Fig: 13 - Audits By Category

• Each of these audit categories are color coded. Hover your mouse pointer over the pie chart to reveal a tooltip text about the audits count per audit category, out of the total audits count for that year. Refer to the following image to understand better.

Fig: 14 - Audits By Category tooltip view

• By default, the current year is selected. You can select another year from the year selection dropdown (at the top right of this section) to load the count of existing audits of different category types (of that year).

Fig: 15 - Year selection dropdown expanded view

3.2. Red Flags

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This section shows a horizontal bar chart illustration to represent the red flags count per audit category type. There are three categories labeled as - Financial Compliance, Cyber Security and Operational. If there is no bar chart present for a category, then there is no red flagged question response for it yet.

Fig: 16 - Chart view of Red Flags section

• By default, the current year is selected. You can select another year from the year selection dropdown at the top right of this section.

Fig: 17 - Year selection dropdown expanded view

• Hover your mouse pointer over a displayed bar chart to reveal a tooltip text about the red flags count of that audit category. Refer to the following image to understand better.

Fig: 18 - Tooltip view of Red Flags of Operational audit category

3.3. Audits

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You can search for and view existing audits from this section. Let us first have a look at the different filters that can be set.

Fig: 19 - Audits section filter options of Past Audits Report

• You can click on the Type dropdown to expand its options. The selectable options are Special type, For-cause and Routine. By default, no option is selected. These are the different audit types which can be created in the system.

Fig: 20 - Type dropdown options

• You can select the date range using the provided Start Date and End Date calendars.

Fig: 21 - Date range fields

• You can click on the Auditor dropdown to expand its options. Existing users created for the Auditor, Audit Manager and OSJ roles populate this dropdown.

Fig: 22 - Auditor dropdown

• You can click on the Recipient dropdown to expand its options. Existing users who are set as the Recipient of the audits (in the Audit Details tab at the time of audit creation) populate this dropdown.

Fig: 23 - Recipient dropdown

• You can click on the RedFlags dropdown to expand its options. Selectable options are All, Yes and No.

Fig: 24 - RedFlags dropdown

• The following image shows the view when there report results are fetched to populate the grid view.

Fig: 25 - Report results in grid view

3.3.1. Reset filters

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You can click on the refresh icon to reset the report filters.

3.3.2. Exporting report results

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• Click on the Export button to load the export options (to download a local copy the generated report). Two options labeled as CSV and PDF load below the button. Click on the former to download an excel file or on the latter to download a .pdf copy.

Fig: 27 - Export button

• Here is the view of the contents of the exported PDF file, after clicking on the PDF option. The file is named as AuditReport_YYYYMMDD_HHMMSS, where the timestamp is the Coordinated Universal Time (UTC).

Fig: 28 - Exported PDF file content view of all audits

• You can also click on the vertical ellipsis icon of the ACTION column against any listed audit to load the View Details menu option. Click on the option to load the modal window which displays the audit questions and responses. An Export button is present at its bottom. Click on it to download the .pdf copy of this audit report.

  Fig: 29 - Exported PDF file content view of chosen audit

3.3.3. Customizing the grid view columns

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1. To alter the columns of the view, you can click on the vertical ellipsis icon at the right of the + Export button.

An Audit Attributes modal window loads to display the list of columns and its current selection. The columns of the grid view which are visible by default are pre-selected in this modal window. You can customize and control the columns displayed in the grid view. This feature enables you to tailor the grid view to show data which enhance user experience by providing flexibility and control, making it easier to focus on the most pertinent details.

2. Make permissible checkbox selections under the Audit Schedule header to set the grid view according to your preference. The checkbox selections which cannot be modified are greyed-out.

The following selectable items (column labels) are displayed in the loaded modal window (in default collapsed view state). Refer to the following table:

Sl. No.	Column Label
1	Audit Name
2	Audit For
3	Start Date
4	Target Date
5	Auditor
6	Recipient
7	Red Flag Count
8	Category
9	Description
10	Organization
11	Created On
12	Audit Year
13	Audit Type
14	Status
15	Active?
16	Audit Complete?
17	Remediation?
18	Remediation Date
19	Remediation By
20	Finalized?
21	Finalized Date
22	Finalized By
23	Information Send?
24	Information Send By
25	Information Send On
26	Request Information?
27	Request Information By
28	Request Information On
29	Created By
30	Completion Date
31	Modification Date

3. Click on the Save button to store changes made and close this modal window.

Fig: 30 - Customizing the applicable columns

3.3.4. Using the Pagination options

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Pagination options are provided at the bottom-left, to navigate through multiple pages of entries, which populate the grid view as per the selected count of items per page.

Fig: 31 - Pagination options

4. Using the Attestations Report

Let us assume that you have navigated to the Reports page. Click on the View All option of the Attestations Report tile, to navigate to the attestation report.

Fig: 32 - View All option of the Attestations Report tile on the Reports page

Alternatively, you can click on the Past Attestation Reports button at the top right of the grid view of the Attestations page to proceed to view the same attestations report.

Fig: 33 - Option to navigate to the report

Here is the view of the report page. The report displays row entries of only the attestations which are completed.

Fig: 34 - Past Attestation Reports view

The following filters are present in the report grid view.

• Search bar
• Category selection Type dropdown
• Start Date (date selection) calendar
• End Date (date selection) calendar
• Branch dropdown

Fig: 35 - Past Attestation Reports filters

Let us illustrate each filter one by one.

1. Search bar

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Enter the text based on which you want to execute the attestation search by. If matching entry is found, it will populate the report grid view.

Fig: 36 - Report result fetched by search bar query

2. Category selection dropdown

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The category selection dropdown is labeled as Type. Based on the categories of the completed attestation(s) present in the system, this dropdown is populated. You can make a dropdown selection to filter the report results based on an attestation category (provided that category entry populates the report results).

Fig: 37 - Category selection dropdown options

3. Start Date calendar

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You can filter report results based on the attestation starting date by selecting a calendar date from the Start Date filter.

Fig: 38 - Start Date filter

4. End Date calendar

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Similarly, you can filter report results based on the attestation ending date by selecting a calendar date from the End Date filter.

Fig: 39 - End Date filter

5. Branch dropdown

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The Branch dropdown filter has the All option, along with the name of the firm (or parent company and its hierarchical companies, if created).

Fig: 40 - Branch filter

The report results are generated based on the filters set.

The following columns are present in the report grid view.

• Attestation Name
• Start Date
• End Date
• Type
• Organization
• Status
• Red Flag Count
• Action

6. Reset icon

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You can click on the reset icon to reset the report filters.

Fig: 41 - Reset icon

7. Export button

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Click on the Export button to load the export options (to download a local copy of the generated report). Two options labeled as CSV and PDF load below the button. Click on the former to download an excel file or on the latter to download a .pdf copy.

Fig: 42 - Export button

An excel file gets downloaded after you click on the CSV option. The file is named as AttestationReport_YYYYMMDD_HHMMSS (where the timestamp is the GMT).

You can also click on the vertical ellipsis icon of the ACTION column against any listed attestation to load the View Details menu option. Click on the option to load the modal window which displays the status-wise breakdown of employee contributions towards the attestation completion in the form of row entries. An Action column is present at the right side of a row entry in it. Click on vertical ellipsis icon within it to load the View Details menu option. Another modal window loads which displays the attestation questions and responses.

Fig: 43 - Proceeding to view the status-wise breakdown of employee contributions

An Export button is present at its bottom. Click on it to download the .pdf copy of this attestation report.

Fig: 44 - Exported PDF file content view of chosen attestation entry

8. Customizing the grid view columns

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1. To alter the columns of the view, you can click on the vertical ellipsis icon at the right of the Export button.

A Attestation Attributes modal window loads to display the list of columns and its current selection. The columns of the grid view which are visible by default are pre-selected in this modal window. You can customize and control the columns displayed in the grid view. However, you cannot control the greyed-out column labels. This feature enables you to tailor the grid view to show data which enhance user experience by providing flexibility and control, making it easier to focus on the most pertinent details.

2. Make permissible checkbox selections under the Attestation Schedule header to set the grid view according to your preference. The checkbox selections which cannot be modified are greyed-out.

The following selectable items (column labels) are displayed in the loaded modal window. Refer to the following table:

Sl. No.	Column Label
1	Attestation Name
2	Start Date
3	End Date
4	Type
5	Organization
6	Description
7	Status
8	Year
9	Actual Start Date
10	Actual End Date
11	Red Flag Count

3. Click on the Save button to store changes made and close this modal window.

Fig: 45 - Customizing the report grid view column display

5. Using the Code Of Ethics Report

Let us assume that you have navigated to the Reports page. You can click on the View All option of the Code of Ethics tile, to navigate to the Past Code Of Ethics Report.

Fig: 46 - View All option of the Code of Ethics Report tile on the Reports page

Alternatively, if you are in the Code of Ethics page, click on the Past Code Of Ethics Report button of the Code of Ethics screen to navigate to the Past Code Of Ethics Report.

Fig: 47 - Past Code of Ethics Report button of the Code of Ethics page

The following image shows the report page that loads. The following columns are present in the grid view - EMPLOYEE NAME, MODULE TYPE, NO. OF ENTRIES, NO. OF REDFLAGS and ACTIONS.

Fig: 48 - Past Code of Ethics Report view

Enter suitable text in the search bar based on which you want execute the search operation.

Fig: 49 - Search bar

Select the module type from the Type dropdown. By default, all selection is set.

Fig: 50 - Type dropdown options

Search result(s) populate the grid view based on the filters set.

Fig: 51 - Search results generated

6. Using the Compliance Overview Report

1. Click on the View All option of the Compliance Overview Report tile, to proceed to navigate to the report view.

Fig: 54 - Option to navigate to the report

The following image shows the report page that loads. The following columns are present in the report page - DETAILS, # Of ITEMS, # Of ITEMS WITH RED FLAGS and # Of INCOMPLETED ITEMS. You can view the count of audits, attestations and code of ethics entries which are assigned to, red flagged and pending for the user.

Fig: 55 - Compliance Overview Report view

2. Select the user based on which whom you want to execute the search operation. By default, the logged-in user is selected (populates) the dropdown. However, if the logged-in user is set as the Supervisor of another existing user, then the username of the subordinate also populates the dropdown. But, the logged-in user is selected in the dropdown.

Fig: 56 - User selection dropdown

3. Select the starting date from the start date calendar selection field. By default, it is set to 1st January of the current year.

Fig: 57 - Start date calendar selection

4. Select the ending date from the end date calendar selection field. By default, it is set to 31st December of the current year.

Fig: 58 - End date calendar selection

5. Click on the Submit button to generate report results based on the filters set.

Fig: 59 - Search results generated

7. Using the Vendor Assessment Reports

Let us assume you have navigated to the Reports page. Click on the View All option of the Vendor Assessment Reports tile, to proceed to navigate to the report view.

Fig: 61 - Option to navigate to the report

The following image shows the report page that loads. The following columns are present in the grid view - Unique ID, Vetting Title, Start Date, End Date, Status, Red Flag Score, VDD Category, View Summary and Action.

Fig: 62 - Vendor Assessment Reports view

The following filters are present in the report grid view.

• Search bar
• Start Date (date selection) calendar
• End Date (date selection) calendar

Let us illustrate each filter one by one.

1. Search bar

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Enter the text based on which you want to execute the vendor assessment search operation. If matching entry is found, it will populate the report grid view.

2. Start Date calendar

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You can filter report results based on the vendor assessment starting date by selecting a calendar date from the Start Date filter.

Fig: 63 - Start Date filter

3. End Date calendar

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Similarly, you can filter report results based on the vendor assessment ending date by selecting a calendar date from the End Date filter.

Fig: 64 - End Date filter

Search result(s) populate the grid view based on the filters set.

8. Using the Cyber Reports

Click on the View All option of the Cyber Reports tile, to proceed to navigate to the report view.

Fig: 70 - Option to navigate to the report

The following image shows the report page that loads.

Fig: 71 - Cyber Reports view

The following filters are present above the report grid view.

• Search bar
• Entity selection dropdown
• Start Date (date selection) calendar
• End Date (date selection) calendar

Let us illustrate each filter one by one.

1. Search bar

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Enter the text based on which you want to execute the search by. If matching entry is found, it will populate the report grid view.

2. Entity selection dropdown

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You can filter report results based on the option selection of this dropdown. It contains three options as Devices, Enrollments and Incidents.

Fig: 72 - Entity selection dropdown filter options

If you select the Device dropdown (which is also selected by default) then three radio button load below the dropdown. The radio buttons are as follows:

• All - used to load all device related information received from endpoints, based on the text entered in the search bar, and / or the specified date range.
• WorkStation - used to load all workstations related data based on the text entered in the search bar, and / or the specified date range.
• Mobile - used to load only associated mobile devices related data based on the text entered in the search bar, and / or the specified date range.

Fig: 73 - Radio button options

3. Start Date calendar

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You can filter report results based on the incident starting date by selecting a calendar date from the Start Date filter. By default, the current date is set.

Fig: 79 - Start Date filter

4. End Date calendar

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Similarly, you can filter report results based on the incident ending date by selecting a calendar date from the End Date filter. By default, the current date is set.

Fig: 80 - End Date filter

You can click on the Apply button to generate report results based on the filter(s) set.

Fig: 81 - Apply button to generate report based on filters set

9. Using the Marketing Review Reports

Click on the View All option of the Marketing Review Reports tile, to proceed to navigate to the report view.

Fig: 85 - Option to navigate to the report

The following image shows the report page that loads.

Fig: 86 - Marketing Review Reports view

The following filters or options are present above the report grid view.

• Search bar
• Document Status selection dropdown
• Show All Versions checklist
• Start Date (date selection) calendar
• End Date (date selection) calendar

Let us illustrate each filter one by one.

1. Search bar

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Enter the text based on which you want to execute the search by. If matching entry is found, it will populate the report grid view.

Fig:87 - Searching for Marketing Review entries

2. Document Status selection dropdown

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You can filter report results based on the option selection of this dropdown. It contains seven options as follows:

• All - Used to load all marketing content that has been reviewed or is currently under review, regardless of status or processing outcome.
• AI Review In Progress - Used to load all marketing content which is undergoing automated reviewing.
• Needs Review - Used to load all marketing content which have undergone automated reviewing but approver role user needs to be confirm AI based assessment.
• Back to Submitter - Used to load all marketing content which have undergone automated reviewing and issues have been detected and submitter action is needed.
• Approved - Used to load all marketing content which have been approved by the reviewer after undergoing an automated review.
• Expired – Used to load all marketing content where the displayed version is no longer active due to a newer version of the document being uploaded.
• AI Response Error - Used to load all marketing content that triggered an error during the automated review.

Fig: 88 - Document Status selection dropdown filter

3. Show All Versions checklist

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By default, only the latest uploaded version of a document is displayed in the grid. However, you can load all versions by selecting this checkbox

Fig: 89 - Show All Versions checklist

4. Start Date calendar

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You can filter results based on the upload date of a marketing document by selecting a calendar date from the Start Date filter. By default, the current date of the previous year is set.

Fig: 90 - Start Date filter

5. End Date calendar

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Similarly, You can filter results based on the upload date of a marketing document by selecting a calendar date from the End Date filter.

Fig: 91 - End Date filter

You can click on the Apply button to generate report results based on the filter(s) set.

Fig: 92 - Apply button

You can click on the reset icon (at the right of the Apply button) to reset the filter(s) to the default state and refresh the grid view results.

Fig: 93 - Reset icon

The following columns are present in the grid view by default.

1. Review Name
2. Employee Name
3. Document Name
4. Version No
5. Document Status
6. AI Risk Score (0 -> 100)
7. Issue Count
8. Actions

The Actions column present at the right side of a row entry can be used to load the row-context menu option. Click on vertical ellipsis icon within it to load the Download menu option.

Fig: 94 - Using the Download menu option

After you click on it, a local copy of the report record gets downloaded. Here is the partial view of the opened pdf file which got downloaded.

Fig: 95 - Partial view of the contents of the downloaded file

10. Using the E-Comms Surveillance Reports

Click on the View All option of the E-Comms Surveillance Reports tile to proceed to navigate to the report view.

Fig: 99 - Option to navigate to the report

The following image shows the report page that loads.

Fig: 100 - E-Comms Surveillance Report view

The following filters are present above the report grid view.

• Search bar
• E-Comms Surveillance status selection dropdown
• From Date (start date selection) calendar
• To Date (end date selection) calendar

Let us illustrate each filter one by one.

1. Search bar

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Enter the text based on which you want to execute the search by. If matching entry is found, it will populate the report grid view.

Fig: 101 - Search operation

2. E-Comms Surveillance Status selection dropdown

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You can filter report results based on the option selection of this dropdown. It contains five options as follows:

• All - used to load all scanned emails from the assigned user mailboxes linked to every E-Comm Surveillance request, regardless of whether the emails were successfully extracted or an error occurred during processing.
• Completed - used to load all emails that were successfully scanned by AI.
• Mail Not Found - used to load all instances where no mails could be extracted for automated reviewing based on E-Comm Surveillance scheduling filters.
• AI Response Error - used to load all emails that triggered an error during the automated review.

Fig: 102 - Status selection dropdown filter

3. From Date calendar

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You can filter report results based on the E-Comm Surveillance schedule date by selecting a calendar date from the From Date filter. By default, the current date of the previous year is set.

Fig: 103 - From Date filter

4. To Date calendar

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Similarly, you can filter report results based on the E-Comm Surveillance schedule date by selecting a calendar date from the To Date filter. By default, the current date is set.

Fig: 104 - To Date filter

You can click on the Apply button to generate report results based on the filter(s) set.

Fig: 105 - Apply button

You can click on the reset icon (at the right of the Apply button) to reset the filter(s) to the default state and refresh the grid view results.

Fig: 106 - Reset icon

The following columns are present in the grid view by default.

1. Review Name
2. Employee Name
3. Email
4. Mail Status
5. Issue Count
6. AI Risk Score (10 -> 100)
7. Actions

The Actions column present at the right side of a row entry can be used to load the row-context menu option. Click on vertical ellipsis icon within it to reveal the Download menu option.

Fig: 107 - Using the Download menu option

After you click on it, a local copy of the report record or email assessment gets downloaded. Here is the view of the opened sample pdf file which got downloaded.

Fig: 108 - View of the contents of the downloaded file

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