Once a user fills in the required details, the complaint is submitted online for processing. An automatic reference number is generated, and the case queued via workflows. The complainant receives an email and/or SMS notification with the reference number. The system also accepts anonymous reporting and reporting on behalf of someone else.

Next is prioritization of the complaints depending on severity and other business rules. The complaint is assigned to a case officer, either automatically based on availability or manually by the complaint’s supervisor. Priority 1 complaints are routed to Investigations immediately. The rest of the complaints are handled by the Complaints team through case committee review and alternative dispute resolution mechanisms.

The system handles communication between case officer and complainant to gather additional information, feedback and correspondence. Cases can be referred to external agencies for action through the system. System workflows track case ageing, allow for delegation and escalations based on defined workflows.

Investigations is the core of the enforcement operations. Processes are meant to be efficient to ensure timely turnaround time and transaction audit log of activities done. Once a case is routed to investigations, an investigations number is autogenerated and notification is sent to the team leader to assign the case to an investigations officer. Investigation workplan is created with tasks, activities, resources and documents required. System workflows track investigation process, witnesses, statements and other documents. Once the investigation is completed, an investigation report is prepared through the system templates, reviewed by investigation committee and recommendations forwarded to relevant user department. Through Artificial Intelligence and Machine Learning models, the investigation process greatly eliminates manual interventions. Complainant is updated on case status progress during the investigation process.

Based on investigation recommendation, cases are forwarded to legal team for review and legal opinion. Opinion process workflow recommends either to return the file for gaps to be filled or initiate court process. This module also determines court appointment, attendance schedule and captures proceedings states. It also has calendaring, bring up notifications and document management.

Cases captured are at times referred for continuous inspection and monitoring as part of the resolution mechanism. Also, institutions initiate own inspections and monitoring as part of investigative case management. In this module, the following step by step process is followed.

1. Case Initiation:

   A case file is forwarded to the Inspection and Monitoring department, where the Head of the department is notified via an email notification.

2. Assignment of Case:

   The Head of IRM assigns a specific IRM officer to handle the case.

   The assigned officer follows the Head of IRM’s recommendations for handling the complaint. These recommendations may include:

   • Monitoring: If the case requires ongoing observation or tracking.
   • Inspection: If a detailed examination of the issue is necessary.
   • Research: If additional information is needed to assess the case.
   • Inadequate Information (Reject): If the case lacks essential details and cannot proceed.
3. Case Handling:

   The assigned officer investigates the case based on the recommendations.

   They gather relevant evidence, interview involved parties, and analyse the situation.

   A comprehensive report is prepared, detailing the findings and proposed actions, and then submitted for review.

4. Assigned Officer’s Recommendations:

   The assigned officer provides their recommendations for further action. These may include:

   • Approve for Closure: If the complaint is resolved and can be closed.
   • Approve for Further Investigation: If additional scrutiny is required beyond the initial assessment.
   • Continuous Monitoring: If ongoing supervision is necessary.
   • Seek Further Clarification from Complainant: If specific details need clarification.

   “Approve for Further Investigation” Scenario:

   • When the assigned officer recommends further investigation, the case is escalated to the Investigation department.
   • The Investigation department takes over and conducts a more in-depth inquiry.
   • This may involve interviews, data analysis, and collaboration with other relevant units.
   • The goal is to uncover any hidden issues, potential violations, or systemic problems.
5. Approval Process:

   The assigned officer’s recommendations are reviewed and approved by the Head of Department.

   The Director also reviews and approves the final course of action.

Counselling module in the system is designed to provide extensive and confidential support to staff and associated individuals to make sure their mental and emotional well-being is prioritized and addressed well. Any staff member requests for counselling for themselves, a group, a complainant, an external individual (contact), another staff member, a victim, a police officer, or a witness. The process begins with the staff member selecting the appropriate category and department, and then submits the request.

Upon submission, the head of Counselling receives an email notification about the new request. The head then assigns a qualified counselling officer to handle the case. The assigned officer takes on the responsibility of communicating with the individual and guiding them through the counselling journey. This involves gathering more information to provide tailored and effective support.

The officer conducts a thorough mental status examination to better understand the individual’s condition. This assessment forms the basis for planning the counselling sessions determining the best course of action.

The officer documents each session in the system with the individual, detailing the discussions and progress. Based on the individual’s response and cooperation, the officer can decide to either:

• Follow-up: Schedule further sessions to continue the counselling
• Close the sessions: this can occur due to the successful resolution and satisfaction of the individual’s issues, absentia (if the individual stops attending), non-cooperation (if the individual is unwilling to engage), or referral to external bodies for specialized support.

All interactions and outcomes within the Counselling Module are strictly confidential with enforced system security measures. Only one assigned counselling officer has visibility into the specifics of the case and the progress made. This ensures privacy of the individuals seeking counselling is maintained.

At the beginning of each year, employees are required to create their individual workplans. These workplans are divided into quarters to have a managed and focused approach to meeting organizational annual goals. The workplan is thoroughly reviewed and approved by the respective employee’s supervisor to make sure that all activities and objectives outlined are realistic, achievable, and in line with the departments’ goals.

Once the workplans are submitted, the system analyses the progress and performance of each employee by calculating the completion percentage of their set objectives. This data is then compiled into a comprehensive general report for the department. This report provides a clear overview of how well the department performed showing the key areas of success and those that may require improvement.

In addition to the quarterly breakdown of the workplan, there is also an individual workplan report. This report includes defined Key Performance Indicators (KPIs) for the organization, strategic objectives, and the strategies to achieve them. Within this framework, employees fill in their specific activities and sub-activities, detailing how their daily tasks contribute to the broader organizational goals.

To provide measurable metrics, employees fill in output indicators in the annual workplan in order to assess the effectiveness of the activities and sub-activities. These indicators make sure that there is a clear understanding of what success looks like and how it will be measured.

This module manages content intended for social media, bulletins, newsletters, publications, and adverts. Each piece of content is thoroughly reviewed and must be approved by the Head of Communication and Outreach before publication. All this is to ensure that information to the public is consistent, accurate, and aligned with the organization’s communication strategy.

Media Analysis

Communication and Outreach Officer extracts excerpts from various media platforms, including social media, radio, and TV, to understand public perception and engagement. Each media analysis report includes the source, method of retrieval, and relevant documents, audio, and/or video attachments. These analyses are reviewed and approved by both the Principal C&O Officer and the Head of C&O to make sure there is comprehensive oversight and strategic response of public perception.

Outreach Programs

In spreading awareness about the organization and its mission, outreach programs are detailed by the C&O officer for each outreach initiative. They fill in the title, start and end date and times, location (County), and a summary, including any associated expenses. Relevant documents and content are attached to the submission. Each outreach program is then reviewed and approved by both the Principal C&O Officer and Head of department to make sure that the organizational outreach efforts are well planned and executed effectively.

Records Management

When a case is resolved or reaches its conclusion in the Complaints module, it is marked as “closed.” Upon case closure, an automated process triggers the transfer of relevant case data to the Records department. The Records department manages the archived case records. Their responsibilities include:

• Storage and Retrieval: Safely storing case records in a structured manner.
• Retention Policies: Applying retention policies based on legal requirements or organizational guidelines.
• Search and Retrieval: Efficiently retrieving records when needed.
• Disposition: Determining whether records can be destroyed, transferred to long-term storage, or remain accessible.

This module allows internal users to raise support tickets on issues related to the case management system. Through email or web form, users submit issues, ticket is raised and notification sent on email. The issue is resolved and users notified.

The solution reports on KPI’s including;

• Helpdesk requests opened
• Helpdesk requests closed
• Request fulfilment agent
• Change requests opened and closed

Metrics are also developed and reported on including;

• Helpdesk requests opened (KPI)
  • Number of helpdesk requests opened per department
  • Number of helpdesk requests opened by type/category (Application, Hardware, Software, etc)
  • Number of helpdesk requests opened by priority (High, Medium, Low)
  • Number of helpdesk requests opened by intake method (Phone, Email, Self-Service portal, Instant Message IM)
  • Number of helpdesk requests opened by reporting group
• Helpdesk requests closed
  • Average Request Time to Respond
  • Mean time to repair
  • Per Department
  • By type/category
  • By priority
• Helpdesk requests fulfilment agent (KPI)
  • By Assignee/Agent
  • Deleted
  • Modified
  • Requests closed (KPI)
    • By type/category

Dashboards

The solution has dashboards that display the KPIs, metrics and other reports.

Case Management process handles significant number of documents in different formats. These include witness statements, photos, videos, exhibits, medical scans and other case documents. Once a case is created, document upload is enabled for case officers and investigators to add documents received. These are stored securely in the document management module. Document versioning is done.

Built in reports provide analysis of cases received and processed via the case workflow. There are reports for Complaints, Investigations, Legal and other modules including ICT Help Desk. The system provides granular report details for Gender, Location and other parameters that allow trend analysis and predictions. Access to the reports and dashboards is managed through user access rights assigned to the users. There is access level to reports for Management, Operational staff and Technical team.

The solution reports on KPI’s including;

• Cases opened
• Cases closed
• Cases prosecuted in court
• Cases referred to other agencies
• Case officer
• Investigations officer
• Change requests opened and closed

Metrics are also developed and reported on including;

• Cases opened (KPI)
  • Number of cases opened per Nature of Offence
  • Number of helpdesk requests opened by type/category (Gender, County, Location, etc)
  • Number of helpdesk requests opened by priority (High, Medium, Low)
  • Number of helpdesk requests opened by intake method (Phone, Email, Self-Service portal, SMS, USSD, Letters, Walk-In)
  • Number of cases opened by reporting group
• Cases closed
  • Average Request Time to Respond
  • Per Nature of Offence
  • By type/category
  • By priority
• Case and Investigation Officer (KPI)
  • By Case/Investigation Officer
  • Deleted
  • Modified
  • Cases closed (KPI)
    • By type/category

The solution has dashboards that display the KPIs, metrics and other reports.