Primary Use Case: Conversation Compliance & Archiving

Background Overview

Social platform conversations contain sensitive information and compliance risks. Without systematic monitoring and archiving, companies face regulatory penalties and reputation damage. This primary use case describes real-time compliance monitoring, violation handling, and conversation archiving to ensure compliant operations.

Goals & Value

• Real-time Monitoring: Continuous monitoring of conversation content for compliance.
• Violation Handling: Automatic detection and handling of policy violations.
• Complete Archival: Long-term storage of conversations for audits and reviews.
• Audit Convenience: Easy access to historical conversations for investigations.

Participating Roles

• Compliance Team: Monitor violations and approve exceptions.
• Operations: Handle compliance issues and implement policies.
• Management: Review compliance reports and make decisions.
• IT Team: Maintain monitoring systems and data security.
• External Auditors: Access archived conversations during audits.

Primary Scenario User Story

As a compliance officer, I want to monitor conversations in real-time and handle violations automatically, so that I can ensure regulatory compliance and reduce risks.

Sub-scenario Details

Sub-scenario A: Real-time Content Monitoring

• Roles & Triggers: Need to monitor conversation content continuously.
• Main Process:
  1. Configure sensitive word libraries and compliance rules.
  2. Monitor all conversations in WeCom groups and private chats.
  3. Flag suspicious content and potential violations.
  4. Alert compliance team for urgent issues.
• Success Criteria: Comprehensive coverage; accurate detection; timely alerts.
• Exceptions & Risk Control: Reduce false positives; handle edge cases; maintain monitoring logs.
• Metric Suggestions: Detection accuracy, alert timeliness, coverage rate.

Sub-scenario B: Violation Handling & Remediation

• Roles & Triggers: Policy violations detected in conversations.
• Main Process:
  1. Automatically flag violating content and users.
  2. Notify involved parties and request immediate action.
  3. Generate remediation tickets for serious violations.
  4. Track remediation progress and outcomes.
• Success Criteria: Quick response; effective remediation; documented actions.
• Exceptions & Risk Control: Verify violations before action; handle false positives; escalate serious issues.
• Metric Suggestions: Violation rate, remediation time, repeat offense rate.

Sub-scenario C: Conversation Archiving

• Roles & Triggers: Need to archive conversations for long-term storage.
• Main Process:
  1. Automatically archive all conversations according to retention policies.
  2. Encrypt and store in secure repositories.
  3. Index conversations for easy search and retrieval.
  4. Maintain archival integrity and accessibility.
• Success Criteria: Complete archival; secure storage; searchable archives.
• Exceptions & Risk Control: Verify archival completeness; protect sensitive data; maintain access logs.
• Metric Suggestions: Archival success rate, search accuracy, storage security.

Sub-scenario D: Audit Support & Reporting

• Roles & Triggers: Support compliance audits and investigations.
• Main Process:
  1. Generate compliance reports and metrics.
  2. Provide filtered access to archived conversations.
  3. Support investigations with evidence collection.
  4. Export reports for external auditors.
• Success Criteria: Complete audit trails; convenient access; comprehensive reports.
• Exceptions & Risk Control: Verify audit requests; protect customer privacy; maintain audit logs.
• Metric Suggestions: Audit request fulfillment, report accuracy, investigation success rate.

Scenario-level Test Case Examples

Test Preparation: Prepare compliance monitoring tools, sensitive word libraries, archiving systems, and audit workflows.

Test Case A-1: Sensitive Content Detection (Positive)

• Prerequisites: Sensitive word library configured.
• Steps:
  1. Simulate conversation with prohibited content.
  2. Monitor system response.
• Expected Results:
  • System detects and flags violation immediately.
  • Alert sent to compliance team.
  • Violation logged with conversation excerpts.

Test Case B-1: Audit Request Fulfillment (Negative)

• Prerequisites: External auditor requests specific conversation history.
• Steps:
  1. Receive audit request with authorization.
  2. Search and retrieve conversations.
• Expected Results:
  • Conversations found and exported.
  • Customer data anonymized as required.
  • Audit trail maintained for compliance.

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