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Compliance Management

Module: Compliance.

Purpose: To create and maintain compliance tasks.

To Access: Compliance - Compliance Management.

Note: You need the Compliance Manager authority to add or modify the compliance tasks if Compliance Management Restriction is turned on.

The Compliance Management assist you in documenting the organisation external and internal compliance requirements, especially those that require certain action to be completed periodically, for example submitting a return or report.

Select an organisation unit and a list of compliance items will be displayed (if any) for that organisation unit.  You can choose to view items assigned to your email address only (My Items which is the default) or view all items for the selected organisation unit.

To view previously deactivated items, click the Show Inactive items button.  To toggle back to the active items, click the button again.

Either click the New Item button to create a new compliance item or select a compliance item from the list to show the details:

The Alert days before due is used by the Workflow system to send alert emails to the selected recipients.  For example, if the Alert days before due is 14 days and in the Workflow Configuration, the first email was scheduled to be sent 10 days before due, then the email will be sent 24 (14+10) days before the compliance due date.

You may attach more detailed documentation in relation to the compliance item by clicking the Attach Document button.

You may deactivate the compliance item if it is not to be used any longer (or replaced by another item) by un-ticking the Active box and then Save.  A deactivated item can be activated (by ticking the Active box and Save) again any time and the completion history will remain intact.

Tip: If the frequency is ad hoc, you are still required to enter the next due date. Either enter 31 December 2020 or today's date and then complete the item immediately using the Timetable function. This way you won't get a reminder for the item.

To select the Executed By Officer from a list of registered users, click the search icon next to Officer.  You may search the list by entering the user's ID or name.

Click the Overdue button to obtain a list of all compliance items overdue for completion for the whole organisation (regardless of which organisation unit is being selected).

Compliance items can be copied/cut and pasted to another organisation unit.  For a single compliance item, select the item and click the copy (or cut) button:

Then select the destination organisation unit and click the paste button.

To copy/cut all the compliance items in one organisation unit, select the organisation unit and without selecting any compliance item, click the copy or cut button. Then select the destination organisation unit and click the paste button.

Note:  When copying compliance items, the history of the compliance item(s) will not be copied to the new destination.  When cutting and pasting, the history will be moved to the new destination.

See also:

Compliance Time Table

Overdue Items