Compliance Assist
Compliance Assist assists organisations with their compliance to relevant laws, regulations, polices, standard operating procedures, etc.
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 printed as required.
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- New legislation is logged on the online compliance register, with each item assigned to a Legislation Owner within the relevant directorate or department;
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- The Legislation Owner(s) review the legislation, capture required deliverables, and assign actions to Action Owners using SMART principles to ensure compliance;
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- The Action Owner(s) complete all required actions and update their progress on the online compliance register;
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- The Legislation Administrator can activate required deliverables and/or actions linked to specific predefined events;
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- The Management team and operational support functions provide support and guidance to ensure completion of deliverables and actions, with reports generated as required;
- 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 client-specific defaults for the module, including the ability for users 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.
- Real-time, up-to-date dashboards for each user showing overdue actions, actions due today, and actions due in the future based on the number of days defined by the user.
- A 3-click process for action owners to update the actions assigned to them.
- Functionality for users to attach documents to legislation as required operationally.
- Functionality to allow for approval of actions before their status can be confirmed as completed.
- Functionality to allow the organisation to assess compliance with legislation.
- Functionality to allow automatic activation of compliance requirements (deliverables and/or actions) when a predefined event occurs.
- Functionality for assurance providers to track assurance procedures carried out and attach 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 module setups to meet the organisation’s specific business requirements.
- Automatic generation of notifications and reminders to predefined users.
- Individual user dashboards clearly show the progress of assigned actions and indicate when actions are overdue (past the defined deadline date).
- Users with appropriate access can view their own legislation as well as legislation assigned to other users.
- Users can generate customised legislation and action reports using report generation functionality, including various data filters and grouping tools.
- Reporting can be generated on-screen or exported to Excel.
- Generation of fixed reports, including numeric and graphical data, for status and exception reporting for management purposes.
- Improved communication between stakeholders as up-to-date information is available on a centralised Online Compliance Register accessible to all registered users at all times.
- Actions are assigned to deliverables using the SMART principles.
- The output from compliance management processes can assist with operational and individual performance management.
- Contract, deliverable, and action data is stored in the database for future reference and reporting purposes.