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Regulatory Enforcement

An Investigative Case Management solution for statutory and regulatory authorities

Regulatory investigations must capture, analyse, and manage information about infractions/violations of the Acts and Regulations an agency administers. A key part of regulatory enforcement is to develop an understanding of the potentially large amount of data that is generated by an enforcement investigation and interpret these in a manner which clearly demonstrates that relevant evidence meets the necessary legal requirements for any enforcement action.

Built on the Xanalys Investigative Case Management platform, XIM manages every aspect of your case, from receiving and processing the initial incident report through to the preparation and presentation of evidence used for an enforcement action. XIM provides a collaborative and secure environment in which to conduct a range of different investigation types.

Regulatory agencies will always have unique requirements surrounding their investigative processes and data formats. The Xan:ICM framework has been specifically designed with this in mind, ensuring each XIM deployment is configured to meet our customer’s exact needs: user roles, data entry forms, entity definitions, and document workflows are all easily configurable. Agencies can select from the various Xan:ICM data processing and data analysis capabilities offered by the platform.

Managers and investigators have access to a range of dashboards, that present the progress of their current case load, outstanding and overdue Tasks, latest activities, and potential bottlenecks in disclosure preparation.

Xanalys can provide integration services to reduce the need for investigators to be working across a range of applications, giving user’s access to search agency and external data sources directly from the XIM interface, then review and integrate selected data straight into their case. Reporting is supported both within the application and via integration with agency data warehouses.

Enforcement is supported via the generation and disclosure of Briefs of Evidence and the progress and outcomes of court, tribunal, fines and suspensions monitored until completion.

Case Study

The Investigative Case Management System (ICMS) project was initiated to provide ten separate and diverse regulatory investigation teams within the New Zealand Ministry of Business, Innovation & Employment (MBIE) with a single, common application platform to manage the end to end investigation workflow, yet still provide each of the participating Business Unit’s (BU) a level of configuration required to support their unique business processes.

The common system, which replaces a range of disparate applications will provide a consistent, repeatable process for all MBIE investigations, enhance the accuracy and efficiency of data collection, and provide secure data sharing across the Ministry.

After looking at over 40 vendors from across the globe, Xanalys was selected based on the strength of their “XIM” Investigative Case Management platform, the experience and expertise of the Xanalys team, the feedback from their clients and their understanding of MBIE’s business goals.

Stu Lumsden, MBIE ICMS Business Owner, stated…..

“The first Phase of the Project to deliver ICMS to the initial BUs (with 150+ users) has been successfully delivered to an aggressive timescale and quality standard. Throughout the project there has been excellent levels of communication and collaboration across the Project Teams. Our front line users love the product and are talking about how much easier it is to undertake case management with this system.

While working across different time-zones, Xanalys also provided onsite presence & support for items such as requirements workshops & go-live support, along with the provision of an onsite Xanalys support representative for the go-live and life of the contract.

I look forward to the continued collaboration between Xanalys and MBIE, for the continued high-standard of delivery for the remaining BU’s, and for the ongoing support of the Live Service .”


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