Compliance Register

Introduction

The Compliance Register module helps your organization track and manage its diverse compliance obligations. It acts as a central hub for information related to acts, regulations, codes of practice, internal policies, and other compliance instruments. Effective use of this register supports proactive compliance management and ensures accountability.

Key functions include:

• Documenting specific compliance items with details like the governing Act/Regulation/Code and relevant sections.
• Assigning responsibility for oversight and action.
• Tracking the criticality of compliance items and their due dates for reviews or actions.
• Managing review cycles and documenting compliance status.
• Linking compliance records to supporting information such as risk assessments, related compliance documents, or corrective actions.
• Managing records through a clear lifecycle (e.g., Draft, Open, Overdue, Archived).
• Facilitating automated reminders for important dates.

Creating and Managing Compliance Records

Adding a New Compliance Record

1. Navigate to the Compliance Register module.
2. Select 'New Record'. The record begins in the 'Draft' state.
3. Hierarchy: Confirm or set the correct organizational unit (e.g., Site, Department) for the record.
4. Core Details:
   • Act/Reg/Code (Required): The primary name of the compliance document (e.g., "Work Health and Safety Act 2020").
   • Reference Section (Required): The specific clause or section (e.g., "Section 3.2").
   • Compliance Type: Categorize the item (e.g., "Policy Review," "Local Govt Act").
   • Obligation Summary & Requirement: Briefly state the core obligation and then detail the specific requirement.
   • How Requirement Applies: Explain its relevance to your organization.
5. Responsibility and Criticality:
   • Responsible (Required): Assign the individual accountable. This person will typically receive related notifications.
   • Administering Authority/Recipient: Note any relevant external body or internal recipient.
   • Criticality (Required): Assess the importance/risk of non-compliance (e.g., Low to Extreme). This helps in prioritizing efforts.
6. Review and Compliance Status:
   • Due Date: The primary date for action or review. This influences 'Overdue' status and reminders.
   • Compliant: Select "Yes" or "No". If "Yes", ensure the Review Date is set for the next scheduled check.
   • Review Date: The date for the next compliance verification.
   • Version Number & IMS Reference: Track document versions and links to your management system if applicable.
   • Comments: Add any relevant notes.
7. Penalties (if applicable): Record potential demerit points or financial penalties for non-compliance.
8. Links and Attachments:
   • Associated Actions: Link or create tasks in the Actions module to address the compliance item.
   • Risk Assessment: Link to related risk assessments.
   • Link to Compliance: Connect to other relevant entries within the Compliance Register (e.g., linking a specific procedure to its parent policy).
   • Attachments: Upload source documents, evidence, or correspondence.
9. Saving:
   • Select 'Save' to keep the record as a 'Draft'.
   • Select 'Submit' to move it to 'Open', making it an active item.

Managing Existing Records

• Editing: Open a record and select 'Edit' (if in an editable state like 'Draft' or 'Open'). Remember to 'Save' or 'Submit' changes.
• Workflow: Use buttons at the bottom of the form (e.g., 'Archive', 'Re-Open') to change the record's status.

Record List View

The main list displays key details like status, criticality, reference section, responsible person, and due date. Utilize standard search, filter, and column customization features to manage your view.

Understanding Key Fields and Their Purpose

While many fields are straightforward, some play a crucial role in how the module functions:

• Responsible: This assignment drives accountability and is often tied to who receives notifications for due dates or overdue items.
• Criticality: Helps your organization prioritize which compliance items require the most urgent attention or stringent controls.
• Due Date: This is a key date that can trigger automated reminders and change a record's status to 'Overdue' if missed.
• Compliant (Yes/No) & Review Date: These fields work together. If an item is 'Compliant', the 'Review Date' ensures it's periodically re-evaluated. If 'No', actions are likely needed to achieve compliance, often tracked via 'Associated Actions'.
• Link to Compliance: Use this to build relationships between compliance documents. For example, you can link specific operational procedures back to the overarching regulation or policy they address, creating a clear audit trail.
• Risk Assessment Link: Connecting a compliance item to a formal risk assessment provides deeper context on the potential consequences of non-compliance and the rationale for controls.

Workflow and Notifications

Workflow States

Compliance records progress through these main states:

• Draft: Initial entry phase; not yet active.
• Open: Actively managed compliance item.
• Overdue: The 'Due Date' has passed, and the item requires attention.
• Archived: No longer actively managed but retained for historical records (e.g., for superseded policies). Can be 'Re-Opened' if needed.

Transitioning between these states is usually done via workflow buttons on the form.

Notifications

The system can send automated email alerts for events like:

• Assignment: When a record is assigned to a 'Responsible' person.
• Due Date Reminders: Approaching deadlines for 'Due Date' or 'Review Date'.
• Overdue Alerts: When an item becomes 'Overdue'.

These notifications help ensure timely action and maintain awareness of compliance responsibilities. System administrators typically configure the specifics of these notifications.