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Compliance

Overview of the Compliance Assist Module:

Compliance Assist helps organisations with planning and managing their compliance to relevant laws, regulations, polices, standard operating procedures, etc. Organisations can, based on their risk approach, define the level of compliance that they would like to achieve within their organisation. The compliance action plan can then be built on the Assist system. Please take note that the system does not include the actual details of legislation. The subscriber would be required to source and capture this into the system.

The Action Assist workflow methodology facilitates, that when certain events take place, an automatic notification / reminder/action request is send to the identified user to perform the required action(s)/review(s)/approval(s). All of these activities are tracked by the tool and are date stamped within the system, providing a detailed audit trail. Compliance Reports can be generated as operationally required.

 
The high-level process flow of the Compliance Assist module is as follows:

  1. New Legislation is logged on the online compliance register. Each legislation is assigned to a Legislation Owner (person in a directorate / department);

  2. The Legislation Owner(s) will review the legislation, capture the required deliverables and assign one or more actions to action owners (using the SMART principles). The actions will be those actions required to ensure that the identified deliverable is complied with;

  3. The Action Owner(s) will complete all the required actions and will update their progress on the online compliance register;

  4. The Legislation Administrator can activate the required deliverable(s) and/or actions associated with a specific predefined event;

  5. The Management team and other operational support functions will provide support and guidance to the Deliverable and / or Action Owner(s) with the completion of the required actions. Reports can be generated as required.

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Compliance Assist Module Key features include:

  • The availability of an online Compliance Register;

  • Functionality for the module administrator to define and manage user access as required by the organisation;

  • Functionality for the module administrator to define all the client specific defaults for the module which includes functionality to allow the user to assign each Legislation a status, type and category from a predefined drop-down list built by the module administrator;

  • Functionality for legislation to be allocated to a specific financial year;

  • Actions are assigned to deliverables using the SMART principles;

  • Real-time up to date dashboards for each user showing the users overdue actions, actions due today and actions due in the future number of days as defined by the specific user;

  • A 3-Click process for action owners to update the actions assigned to them;

  • Functionality for the users to attach documents to legislation as is operationally required;

  • Functionality to allow for the approval of actions before the status can be confirmed as completed;

  • Functionality to allow the organisation to assess the compliance with legislation;

  • Functionality to allow for the automatic activation of compliance requirements (deliverables and /or actions) in the event of an occurrence of a specific predefined event;

  • Functionality for assurance providers to track assurance procedures carried out and to attach the required proof of evidence;

  • Standard audit trail reporting where all activity on the tool is logged and time stamped;

  • High level of organisational customisation in defining the module setup to meet the organisation’s own business requirements;

  • Automatic generation of notifications and reminders to predefined users;

  • The individual user dashboards clearly show the progress to completion of actions assigned to the user and if the action is overdue (past the defined deadline date);

  • Users with the appropriate level of user access can view their own legislation and legislation assigned to other users;

  • Users can generate their own customised legislation and action reports using the report generation functionality which allows for the use of various data filters and data grouping tools;

  • Reporting is generated on screen or exported to excel;

  • Generation of various fixed reports which include both numeric and graphical data to be used as status and exception reporting for management purposes;

  • Improved communication between all stakeholders as up to date information is available on a centralised database (Online Compliance Register) to all registered users at all times;

 
Compliance Assist Module Example Screenshots:

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