The compliance management menu consists of the following register types, which will let you view, search/filter, add, and manage compliances in your organisation.

• Compliance Register

• Authority Document Register

• Policy Register

If your organisation has configured any additional registers, these will be listed down in this menu too.

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Figure 1.1

Any compliance requirements that the organisation is obliged to comply with, can be recorded in the system as it arises. The requirements can originate from a variety of authority documents (e.g. legislations, standards such as ISO, frameworks). 

General information such as compliance title, module, consequences, and remedial actions can be recorded. Recording a compliance can be done by an operational user, or it can be restricted to an authorised user such as a compliance manager, depending on your organisational requirement.

To create a compliance record:

• STEP 1: Navigate to a Compliance Register, and click on the New button at the top-right corner of the window.

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  Figure 2.1

• STEP 2: Enter all required information. The fields available to be filled in, will depend on the configuration by your system administrator via Compliance Settings > Object Configuration.

The following standard fields will be available by default.

• STEP 3: Click on the Save button at the top-right corner of the page to save details.
  Once saved, a notification email will be sent to a select set of users, if it is configured by the administrator. The email template can be defined under Compliance Settings > Notification Templates by an administrator. The email notification receivers can be defined under Compliance Settings > Notifications.

2.1 Navigating and Submitting Compliance Objects

• Once details have been entered in within a compliance object tab, click on the Save button at the top of the page and at the bottom of a page you will see Next and Previous links along with the next/previous object tab name. Click on them to navigate between the next/previous compliance object pages.

• Once all details have been entered in all compliance object tabs, in the last tab you will see a Submit button at the bottom of the page. Click on it to submit all details saved for the compliance.
  
  

2.2 Review Object

The review object tab will let you setup regular compliance reviews which are scheduled. This will ensure that the compliance record is up to date, as per the progress made on compliance actions.

• STEP 1: Click the Review tab from within the compliance object you want to set up a review for.

• STEP 2: Set the 'Review Frequency' based on your preference for the record.

• The Last Reviewed By and the Last Reviewed Date will be a timestamp with the name and the position of the staff who last completed the review. Any reviewer can add a review comment as well.

• The Next Review Date will automatically pick up the next available date as per the specified frequency when it is next reviewed. However, you can modify the date using the calendar control if you have the permissions to do so.

• The Review Status will flag a record as ‘Upcoming' or ‘Overdue' for a review, depending on whether a review is done or not, as per the Next Review Date. If the review date is passed, the ‘Review Status' field will be ‘Overdue' and if the 'Next Review Date’ is in the future, it will be 'Upcoming'.

• STEP 3: To complete the review, click the Complete Review button. However, you can add periodic review comments and save a record as many times as needed, prior to completing a record.

2.3 Action Object

In addition to general details of actions such as title, description, start, end dates, a responsible person can be specified. The action responsible person is then responsible for the progress of the action.

To add a new action:

• STEP 1: Go to the 'Action' tab and click the New button.

• STEP 2: Enter required details and click on the Save button at the top-right corner of the window.

The record will be added to the action list in the Actions tab. The user selected as the responsible officer of the action will be notified via an email (if a notification template is configured by an administrator, under Compliance Settings > Notification Templates), and the action will be visible under  the responsible officer's My Quick Update > My Actions section.

These actions will be updated with progress by the responsible officers similar to actions available in other CAMMS products.

2.3.1 Periodic Reviews for Compliance Actions

You can review recurring and non-recurring compliance actions with progress information, once it is configured.

To setup periodic reviews:

• STEP 1: Go to Framework > Compliance Settings > Object Configuration > [click on an Action Object] > [tick setting 'Show Action Progress Updates']. And in the standard field 'Action Type', configure the visibility to be 'True'.

Once this is set up, the Action tab will split into two subtabs—Action Details, Action Progress Updates.

• STEP 2: In the 'Action Details' subtab, tick the field 'Is this a recurring action?'. 

If ticked, it would mean the action is a recurring action. If left unticked, it would mean it would be a non-recurring action.

• STEP 3: In the 'Action Progress Update' subtab, you can select a ‘Review Frequency’ for which the action will be reviewed periodically. Upon selecting the frequency, a progress grid will automatically populate the recurring periods.

• STEP 4: The ‘Review Recurrence End By’ date will determine the end date of the recurring review periods. You will not be able to update the progress information for the action for periods after the Review Recurrence End By date.

• STEP 5: The ‘Progress Information’ grid will let you update the progress information of the action for each period. The standard progress information fields would be the Action Status, Percentage Complete, and the Comment. Click on Finalise Review to update the progress and the 'Next Review Date'.

• STEP 4: Fill in the required progress information within the grid and complete the review for the period by clicking on the Finalise Review button. Upon clicking this button, you will be notified that the period information will be locked down and non-editable.

  1. For recurring actions, the progress information will be unique to that period. For example, if the action is a monthly recurring action, you can mark the action as complete for that month. This will NOT carry forward for the next enabled period.

     For non-recurring actions, the progress information will be carried forward to the next period.

  2. The progress information only for the current period (i.e. as per the current system date) will automatically sync between the Action Details page and the Action Progress Update page. Therefore, progress information entered for a future period will not sync with the action detail page.

• STEP 5: Once an action review has been finalised, the ‘Next Review Date’ will automatically change based on the frequency, and the selected date. The ‘Last Review Date’ will automatically populate with the date the action review was finalised. The ‘Last Reviewed By’ will be the logged in user’s name.

• STEP 6: Progress information for the past periods in the previous financial years can be viewed by selecting the financial year from the ‘Current Financial Period’ dropdown. Upon selecting the year, the page will load the previous year’s progress information for the review frequency of that year.

• STEP 7: To edit information of a past period that is finalised, you will need to ‘Undo’ the period by clicking on the undo icon.

2.4 Documents Object

Compliance module provides the capability to attach documents (including photos) and any other supporting documents in a range of formats. Linkages can also be specified in the form of URLs.

To upload a document or add a URL:

• STEP 1: Click on the New button at the top-right corner of the window.

• STEP 2: Enter a name and a description.

• STEP 3: Select whether you require uploading a document or entering a URL.

• STEP 4: If you are uploading a document, click the Select the File button, and attach the document.
  
  

• STEP 5: If you are adding a URL, enter the URL link.

• STEP 6: Click on the Save button to save details.

  • You may access the documents and URLs from the table available within the Document tab.

    Click on the download all documents icon on the top-right corner to download all the supporting documents respect to each compliance, as a single bundle in a zipped file.

2.5 Linkage Object

Compliance may have an impact or relationship with hierarchy levels, risks, hazards, incidents in CAMMS products. The Compliance module provides the ability for you to specify any such linkages.

To specify linkages:

• STEP 1: Go to the Linkages tab.

• STEP 2: Click on the New button at the top-right corner of the window.
  
  

• STEP 3: Select the type of record you want to link. This could be: Project, Risk, Incident, Obligations, Authority Document, Policy, Hierarchy, Controls.

• STEP 4: Select the record you want to link from the Linkage list.

• STEP 5: Click Save. The linked record will be displayed in the Linkages table.

2.6 Questionnaire Object

The Compliance module provides the capability to create and manage questionnaires related to compliance assessments. This object allows you to configure questions, descriptions, and confirmation messages, ensuring comprehensive data collection and user feedback.

2.7 Controls object

The Compliance Object provides the capability to configure the fields available in the controls page. This object will display the control details grid within the controls page.

To add a new Control:

• STEP 1: Go to the Controls tab.

• STEP 2: Click on the Add New button at the top-right corner of the window.

• STEP 3: Fill in all the mandatory details and click the Save button to save the record.