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RelianSys®

Transforming Governance

User Manual Compliance Module

V4.11.2

RelianSys® User Manual - Compliance Module

V4.11.2 Issue 1 © RelianSys Pty. Ltd. Commercial in Confidence of 46 Latest changes shown as highlighted.

CONTENTS

Glossary .............................................................................................................................................................................. 3

Getting Started With RelianSys® ........................................................................................................................................ 4

Join the LinkedIn Forums ................................................................................................................................................... 7

ADMINISTRATOR FUNCTIONS: SETTING UP RelianSys® .......................................................................................... 9

User Accounts .................................................................................................................................................................... 9

Positions Management ..................................................................................................................................................... 12

Register Management ...................................................................................................................................................... 13

User Register Access ....................................................................................................................................................... 14

What to do When Someone Leaves ................................................................................................................................. 15

How to Hide Registers ...................................................................................................................................................... 15

How to Assign Responsibility in Bulk................................................................................................................................ 15

How to Assign Due Date in Bulk ....................................................................................................................................... 16

User Department .............................................................................................................................................................. 16

Duplicate Compliance Obligations.................................................................................................................................... 16

User Login Tracking ......................................................................................................................................................... 17

Corrective Action Origin .................................................................................................................................................... 17

Control Measures ............................................................................................................................................................. 17

Tag Management.............................................................................................................................................................. 18

Administrator’s Dashboard ............................................................................................................................................... 18

FOR ALL USERS: HOW TO USE RelianSys® TO MANAGE COMPLIANCE .............................................................. 20

Log into RelianSys® .......................................................................................................................................................... 20

Changing your Password ................................................................................................................................................. 21

Using the Search Function ............................................................................................................................................... 21

The Obligation List ............................................................................................................................................................ 21

Managing Obligations ....................................................................................................................................................... 22

Updating an Obligation Record ........................................................................................................................................ 24

Subscribed Registers ....................................................................................................................................................... 24

Signing Off an Obligation .................................................................................................................................................. 25

Tag a Compliance Obligation ........................................................................................................................................... 25

Managing Updates to Subscribed Registers .................................................................................................................... 26

Deleting Obligations ......................................................................................................................................................... 28

Archiving Obligations ........................................................................................................................................................ 29

The ‘Reset’ Button ............................................................................................................................................................ 29

Audit Trails ........................................................................................................................................................................ 30

Who is my Administrator? ................................................................................................................................................. 30

Integrating Obligations with Supporting Info, Control Measures and Reports ................................................................. 31

Analytical Methods............................................................................................................................................................ 34

CAR – Corrective Action Request .................................................................................................................................... 35

GENERATING REPORTS ............................................................................................................................................... 39



Glossary

Throughout this manual, we use various words that have specific meanings. This Glossary will help you become familiar with these words.

"Content Update" means updates to the Subscribed Registers. These are done on a regular basis, normally quarterly.

“First Due Date” is the review date that is set in the Obligation Registration screen. This is the date on which the first review of the Obligation is planned to occur (for a periodic review using the Assessment Cycle setting). If no periodic review is set, the next review is planned on the date. This date is the one that activates the reminder email system.

“Internal Registers” means Registers that you create within the system to suit the specific needs of your organisation.

“Legislative content” means the Obligations that are developed from the various compliance sources for which you need to manage compliance (legislation (Acts and Regulations), reporting and audit requirements, and some standards). These are delivered to you as Subscribed Registers. This content represents a summary of the relevant legal instrument/s, but does not constitute legal advice, as the context of application is unknown. Its use is for training and information purposes, and to direct the user to aspects of the law that need to be considered in the context of your organisation’s activities and operations.

“Obligation” is the specific piece of information that is contained in each Register. It forms the core of the content delivery.

“Obligation Type” means the classification system which enables you to allocate importance to an Obligation. The options are Once Off, Date Driven, Event Driven, Not Applicable and Awareness. They are simply classification tags. The last two (Not Applicable and Awareness) have the effect of removing the relevant Obligation from reports.

“Position” is the organisational role that a User fulfils. It is how Obligations are grouped to be assigned for responsibility to a User.

“Register” means the collection of Obligations that are brought together under one subject heading. You can locate the full list that is available to you from the “Register for" dropdown in the Register List page. Registers can be delivered to you as Subscribed Registers, or you can create your own Internal Registers as well.

“Responsible Person” means the User to whom a Position has been linked for responsibility and action.

“Sponsor” is the person in the organisation who has requested a MAP™ to be undertaken, or is the point of approval for the project. Their engagement is usually critical to the success of the project and to remove barriers to its successful completion.

“Subscribed Registers” means the collection of Obligations that is delivered to you as a service and updated from time to time.



Getting Started With RelianSys® RelianSys

® offers exceptional benefits as a tool to automate your compliance management processes. However, like any

software deployment project that will involve multiple users, it is very important that before you begin, you know what you want to accomplish, why you want to accomplish it, and then develop a project planning approach.

RelianSys®

is designed to think the way you do. So it will automate the strategy, culture and processes that you have. If they are imperfect, they will simply work imperfectly, but much more efficiently. So it’s very important to establish a sound business context for compliance management. AS 3806-2006 ‘Compliance programs’ is emphatic on this. This includes:

Determining the strategic compliance risk that is going to be managed;

Working out what you’ll do to manage this;

Determining what reporting culture you will have – report types, content, frequency and audience;

Establishing a Compliance Policy for your organisation;

Developing an appropriate implementation plan. There are documents to assist you in this which you can access from the RelianSys website (RelianSys.com.au); the link to this is accessible from the Welcome Page when you log in. In particular, we recommend the Readiness Review, and the Project Planning Template. We find that those organisations who take the time to do this at the outset have the more successful implementation experience.

The way people think when they manage compliance is complex, because there are 5 data dimensions to consider in compliance management. That’s why we find that all the customers who use RelianSys

® use it differently. Within

RelianSys® you will classify and report on:

Responsible person allocated or not

Compliance status – whether or not an Obligation has been assessed, and what the outcome was

Whether or not a due date for assessment has been established

The nature of any review cycles that might be required

The picture of the whole compliance profile at any point in time.

One of the reports in RelianSys® is the Organisational Compliance Profile. This report presents all this information in one

easy to read summary.

Sometimes, because of the intersection of different data dimensions, they don’t add up to the same total figure. For example, in the Table above, 276 Obligations have been assessed for their compliance status; yet 303 have a due date status. This is because, in this case, there are 27 Obligations which have a future due date applied but haven’t yet been initially assessed for their compliance status.

Apparent anomalies like this are normal, because of the complex compliance management decisions you will be able to make, for good reasons, as you implement the high standards of compliance management and controls that RelianSys

®

permits. RelianSys® is designed to think the way you think, even if it throws up some results that seem unusual.

Incidentally, there is a FAQ you can download that defines exactly the business rules for how each figure in the reports is calculated.



When we extract the individual perspectives, we can see the different data dimensions more clearly:

Due Date Set 297 Not every Obligation requires a Due Date to be set. This shows the number of Obligations that DO have a Due Date for initial or cyclical review.

No Due Date Set 244 This number is the difference between the Total and the Due Date Set number.

TOTAL 541 Assessment Cycle Set 186 This is the group of Obligations that DO have an assessment cycle in place.

No Assessment Cycle Set 348

Obligations in this class may not yet have been considered in relation to the need to set a date for review, or they may have been reviewed and signed off, but the No Assessment Cycle Required check box hasn’t been selected. (In some organisations, they aren’t too concerned about doing that; in your case it might be wise to.)

No Assessment Cycle Required

7 For many, they can be signed off initially, and that’s all that’s required. There is a check box for each Obligation to indicate that the need for an Assessment Cycle has been considered, and it is deemed that it isn’t required.

TOTAL 541

Not Yet Assessed 265

Self-evidently, this group isn’t assessed yet. There may be logical reasons for this:

- still in the deployment/implementation phase

- it’s been decided that they won’t be assessed yet, but will be later

- there may be a core group of high priority Obligations that are being reported on, and this is not in that group.

The reports can exclude these by using the Register selection option. This number is the difference between the Total and the (Complies + Partially Complies + Does not comply) number.

Complies + Partially Complies + Does not comply

276 This represents the total compliance profile.

TOTAL 541 Responsible Person Allocated

523 This shows you which Obligations have been assigned….

Responsible Person Not Yet Allocated

18 … and which haven’t

TOTAL 541

As you start your RelianSys® journey, we recommend that you consider a step-by-step deployment approach. This

enables you to start quickly, integrate your compliance management strategy in staged levels of integration, and start getting benefits from the very first day.

1. Search function. As a first step, why not show users how to use the Search function. This is especially useful for Subscribed Registers customers. You can quickly access the online content, and do further keyword searches using your browser ‘Find’ function. Another benefit is that Users quickly become familiar with the screen layouts and start to explore RelianSys

®. Users can’t ‘break’ RelianSys

®, and any unwanted data entries

can be deleted (although history will remain).

2. Tailor the System. If you are working with Subscribed Registers, this is essential to develop the compliance content that is relevant to your operations, your strategic context and your implementation strategy. There is an FAQ on this that you can download from the resource library at the RelianSys website.

3. Deployment. In this stage, you assign Responsibilities to Users for action. You can do this in bulk and by individual allocation of Obligations. They can then go into those Obligations that have been assigned to them, and signoff Compliance Status. After this stage, you can start getting useful reports on your compliance profile.

4. Set reminders. This enables you to keep your compliance profile up to date. It isn’t mandatory, so think about why you might want reminders, and what the frequency should be. They will remind as you instruct, persistently!

5. Integrate into your management system. By linking from your Obligations into your Supporting Information, Control Measures and Reports, you can build a robust compliance management system. This is especially useful for audit, and also to create a knowledge management base for ongoing compliance management. This is a deeper level of implementation, and the system will still work fine if you choose not to do this.

6. Establish action plans. Use of the CAR and MAP™ tools will enable you to improve your compliance controls

and strengthen your management systems.

7. Develop your own Internal Registers. If you are receiving Subscribed Registers, you can of course also create your own Internal Registers to manage a broad range of processes. For example, contracts, leases, meeting agendas and minutes and actions, audits. The list is endless. Some Users choose to do this first, to help Users become familiar with the flexibility of RelianSys®, and obtain measurable benefits from the very beginning.



The flowchart below shows you the key steps to implement an effective Compliance Management System using the automation power of RelianSys

®. Over to you. Contact us if you need assistance.

Set up Users

Set up Positions

Allocate Register Access

Assign Responsibility

Assign Obligation Compliance Status

Generate Reports

Set Reminder Dates and Review Cycles

Monitor changes to Subscribed Registers



Join the LinkedIn Forums As an RelianSys® User, you are able to join the special LinkedIn online forums for our RelianSys® Customers. It’s a place where you can share information, make suggestions, and seek assistance from others. We also use it to communicate with you.

If you come in and join the Governance Group, you can link up to the Compliance Subgroup too. There’s also a Delegations Subgroup, and a Risk Subgroup.

It’s a private group, only available to RelianSys®. So come on in and join the conversation.

1. Join LinkedIn

If you aren’t already a member of LinkedIn, you’ll need to join. This is easy. Go to https://www.linkedin.com/reg/join.

The screen below will appear. Simply fill in the fields, click ‘Join now’, and you are in. LinkedIn will invite you to complete a profile. How much you enter is up to you, but do enter your position and organisation. This is needed to enable you to easily join the groups.

2. Join the RelianSys® Groups

Move your cursor over Interests at the top of your homepage and select Groups.

https://www.linkedin.com/reg/join



Select the Find a group link on the right side of the page. The Search popup will appear. Enter ‘Advent ManageR’ and

click Search

The Advent ManageR® Groups will appear.

Click a group's name to view its Discussions page. Click Join on the group Discussions page or anywhere you see the button. This will alert us to your request to join. We’ll confirm shortly afterwards. Remember to check in regularly.



ADMINISTRATOR FUNCTIONS: SETTING UP RelianSys®

User Accounts Log in using the password given to you. The first time you log in, you will be prompted to change your password. Note that RelianSys® will require a strong password. This has been instituted for your and your company’s protection. The following is required:

Minimum 8 digits

Must contain a number and preferably a symbol (for example, #, $, !)

Must contain both capitals and lower case

ENTERING NEW USERS

1. Select “Settings” from menu at the top

2. Select “User Accounts”

3. When entering new users, do not select from the Lookup User drop down list. Enter the new User’s name, email address, and profile in the mandatory fields marked with a red asterisk.

4. User emails address must be unique. ( Each email address can be only used once in RelianSys)

5. Click Save to save details for each User once entered.

Notice that the Password (new) and Password Hint fields are initially greyed out and inactive. Immediately a User is first set up in RelianSys

®. The users will receive an email with a random password. The email also shows them who their

Administrators are. The first time when a user logs in, will be prompted to create their own password. A rule is enforced that they can't re-use the password they were sent. Once the user is created the Password and Password Hint fields will become active in case the password needed to be reset.

If a user tries to login with the wrong password 5 times, the account will be automatically locked. To unlock an account simply untick the box “Is Locked Out” at the bottom of the page and click Save. This removes the need to individually email each User with their login details when you set them up as new Users in RelianSys

®, saving you time and inconvenience.

DO NOT ATTEMPT TO REALLOCATE RESPONSIBILITY BY CHANGING / REPLACING USER DETAILS IN THIS SCREEN. DOING SO WILL DESTROY ALL USER HISTORY RECORDS.



ALLOCATING USER PROFILES You can define if a user has access to the module by ticking the check box next to the profile dropdown menu and what profile the user should have. The user profiles are as follows:

Administrator: Full access and over-ride of all set-up and functions

Super User: No Access or over-ride of setup functions, but otherwise have full compliance registration and management access to allocated registers

Basic User: Sign off and responsible of obligations, but no compliance registration and management access.

Standard User: Can raise CARs

Limited User: Read Only

Function Limited User Standard User Basic User Super User Administrator

Search Yes Yes x Yes Yes

Sign Off obligations x x Yes Yes Yes

Add Supporting info x x Yes Yes Yes

Add Control Measures x x Yes Yes Yes

Add Report to obligation x x Yes Yes Yes

Analytical Method x x Yes Yes Yes

Raise CARs x Yes Yes Yes Yes

Raise MAPs x x Yes Yes Yes

Add/Manage Compliance registration

x x x Yes Yes

Access AMR Report Menu x x x Yes Yes

Maintenance Setup functions

User Accounts

Register allocation

x x x x Yes

Add Internal Notes x x x x Yes

Hide/unhide individual Obligations x x x Yes Yes

Hide/unhide Registers x x x x Yes

Create Tags x x x x Yes

Apply Tags x x Yes Yes Yes

TO EDIT AN EXISTING USER ACCOUNT

First select the existing user that you wish to amend from the Lookup User drop down list. Make the changes, and Save.

DO NOT ATTEMPT TO REALLOCATE RESPONSIBILITY BY CHANGING / REPLACING USER DETAILS IN THIS SCREEN. DOING SO WILL DESTROY ALL USER HISTORY RECORDS.

TRANSFERRING USER RESPONSIBILITIES Deletion of Users is not possible, because it would result in lost history records or compromise data relationships. Users that no longer need to be in the system can then be made inactive in the Settings>User Accounts page. In the situation where a person leaves, and is replaced, do not attempt to reallocate their Responsibilities by changing the User details. Reallocate User responsibilities (for the Compliance Module) using the Position screen or Search page.



For CARs and MAPs, retrieve a CAR/MAP report that shows the ones that are allocated to a User. Then each one is individually reallocated to another User by clicking through to the record for each instance.

REMOVING /DELETING USER ACCOUNTS

You will notice that there is not a "Delete" button in the User Accounts page. The reason for this is that if existing Users are deleted from the system, database relationships are broken, and history is lost. If you have a User who is replaced by a new person, set the new person up as a new User. Do not overwrite the previous User with the new person’s details. The previous person can then be made inactive by clicking the Inactive User box at the bottom of the screen.

Then in the Positions page (Settings > Positions) allocate the new person to the position of the previous user.

This ensures that the User is removed from the list of available Users, but all their history of interaction in RelianSys is preserved. If you consider deletion of a User essential, contact the System administrator at contact@ RelianSys.com.au.

DO NOT ATTEMPT TO REALLOCATE RESPONSIBILITY BY CHANGING USER DETAILS IN THIS SCREEN. DOING SO WILL DESTROY ALL USER HISTORY RECORDS.

You can see the list of Inactive Users by checking the Show list of Inactive Users box at the top of the screen, and then selecting the Lookup User drop down. You can restore an Inactive User to Active User by simply checking the box at the bottom of the screen.

OTHER USEFUL INFORMATION

Export of the list of Users is done from the button at the top of this screen. This is useful to quickly overview who is connected to RelianSys

®, and what permissions are allocated.

When you are logged in to RelianSys®, there is an automatic timeout that will log you out after the time has expired and

no activity has occurred. Our policy is that the control of timeout security should be enforced at the user organisation. The timeout is now set at 10 hours, so you only have to log in once in your working day, and can have a screen open for an extended time, yet still be confident that RelianSys

® will be closed for you at the end of the day.

mailto:[email protected]

mailto:[email protected]



Positions Management In RelianSys® all Obligations are allocated to Positions, to which individual Users are linked. This enables quick and easy transfer of Obligations to new people as they come and go in various Positions.

ENTERING POSITIONS

Before creating a Position, the User must be already created to be assigned. All Positions must be linked to a User. All Users that are linked to a position must be a Basic User, Super User or Administrator (If Limited or Standard users are assigned a Position they will be upgraded to Basic User automatically) because the role of a Position is to transact in the system to develop the compliance profile for your organisation.

1. Select “Settings” from the menu bar at the top.

2. Select “Positions”

3. When entering new positions, do not select from the Lookup User drop down list. Enter the new Position

name, Position description, Position Number (if applicable), the User to be associated with that Position, and

Manager Position for escalation if required.

4. Click Save

The Manager Position field is to activate the escalation procedure. If the Manager Position is setup, this function will enable escalation to a selected Position to occur for action items that are overdue. This field is optional and can be left empty.

1. Select a Position from the lookup menu.

2. Select a Manager Position to escalate to from the drop down menu.

3. Click Save.

You can deal with the situation of a person taking up an "Acting Role" by this method. Sometimes a person keeps their current role, and also takes on another person’s functions in an acting capacity, and the situation returns to the prior status quo when they return. The best way to do this is to link the User to the "Acting" Position, and then make the original User inactive. The User will now have two Positions using the one email address and password to login. They will have different Obligations, organized by Position.

UPDATING POSITIONS If you need to change the Position name, select it from the list. Amend the text and save. If you need to change the User who is attached to the Position, Select a Position from the lookup menu. Then change the User selection from the drop down list, and save. All Obligations are now transferred to that User.



Register Management For Subscribed Register Clients

Your Subscribed Registers will already be set up for you.

If you would like to use the program to create Internal Registers then simply follow the instructions below.

Prior to undertaking your register set-up you will need to determine the structure of your compliance registers. This will depend how you want to use RelianSys™. For example you can use it for many other purposes, such as internally-managed Legislative and Regulatory Compliance, Contract or Contractor management, Internal Reporting or as an internal schedule of some other sort such as internal audit or maintenance.

Internal Registers

1. Select Internal Register Management from the Maintenance drop down menu at the top of the screen. (The ‘Look-up’ drop down list will show the Internal Registers previously created. Select from this if you need to edit any of the existing Internal Registers.)

2. Enter your first main register in the box next to register name. You may enter a description next to register description if needed. It is recommended to add “(Internal Register)” or a similar description as part of the name. This will help to indentify which are Internal Registers.

3. Click Save (You will see the register appear in the table down the bottom) To change the Register order

When you have completed your register setup, you may change the order to one you would prefer.

1. Select the register you want to change

2. Select the up or down key to move it to your preferred place

3. When you have them in the order you prefer - Click update order

After creating the new Registers remember to give access to the appropriate users, including yourself. To give access to the Registers go to Settings > User Register Access.

Compliance Sources Every Obligation in a Register needs to be linked to the Compliance Source that it comes from. To add a Compliance Source for Internal Registers, go to Maintenance > Compliance Source.

1. Select a Compliance Document Type (optional)

2. Type the Compliance Source name

3. You can then either browse or place the URL of the compliance document in the documents/hyperlinks field (optional)

4. Click Save Add Obligations Once the Register and the Compliance Source have been created and given access to the Register, Obligations can be added. To add an Obligation, go to the Register List, and select an Internal Register. Click on Add New Obligation, and fill the form. Compliance Source, Responsibility and Obligation fields are mandatory. Then click the Save, the page will reload and clear to add ready to add another Obligation. Internal Notes The Internal Notes is a free text field located under Explanatory Notes. This field is for Administrators to add clarification or any information to complement the information of Internal or Subscribed Obligations. The Internal Notes appear next to the Explanatory Notes. The Internal Notes can only be edited by Administrators, but they can be read by any users that have access to the Register.

SUBSCRIBED REGISTERS LOCAL REGISTERS

EXPLANATORY NOTES This field is not available for edit This field is available for edit

INTERNAL NOTES This field is available for edit by Administrators

This field is available for edit by Administrators



User Register Access Register access gives access to the defined Registers to users. The given Registers will appear in their register list and in the drop down menu when they log on.

1. Select User Register Access from the Settings drop down menu

2. Select the user you wish to allocate register(s) to, or you can select any number of Users to allocate Registers to concurrently. Do this by clicking the ‘All’ checkbox to deselect all Users, and then select the ones you wish to include. Then click the ‘Select Users’ button at the top-right of the screen.

(Three columns will appear below showing the Users you have selected, the Registers Available and Registers Accessed To.)

3. Select the registers you wish to allocate

4. Click on the arrow key to move them from Registers Available to Registers Accessed to

You can move multiple registers at one time

1. Highlight the first register, hold down the shift key and highlight the remainder

2. You can then move them as a group across to the access area by clicking the > key

You can also deallocate a register

1. Select only one user (Deallocating registers is done on a single user basis)

2. Select the register in the Registers Accessed box and move it to the Registers Available box

3. Always select Save/Update Changes to save once complete

Note –

1. If a User has previously been allocated certain Registers, they are still retained. This function will add to the list that they have access to, but not replace them.

2. The most common help request we receive is related to Users receiving reminder emails, and when they click through they see a blank screen. This is a result of responsibility being allocated, but not having access to the Registers they need to see to be able to fulfil that responsibility.



What to do When Someone Leaves If the Position doesn’t change but the incumbent User does, such as when a person leaves and a new person joins the organisation:

1. Set the new person up as a User (Settings >> User Accounts)

2. Reallocate the Position to the new User (Settings >> Positions)

3. Make sure the new User has access to the necessary Registers (Settings >> User Register Access)

4. Re-assign Responsibilities for CARs and MAPs by accessing the CAR/MAP Report for that User and then make the new User the Responsible person. This is because CARs and MAPs are managed by User, not Position, to allow broad deployment across the organisation.

5. Go to the User Accounts screen (Settings >> User Accounts) and disable the User who is now not required in the system by clicking the ‘Inactive User’ check box at the bottom of the screen and save.

How to Hide Registers If you receive a Subscribed Register that contains Obligations that are not relevant to your organisation, this function enables you to exclude unwanted registers from both view and reporting.

In the Maintenance drop down list, select the option: Hidden Registers.

Next to each Register is a check box. By checking the box, that Register will then be hidden from availability in the Register List page, the Register Access screen, the Search function and all reporting.

Save, by clicking the ‘Update’ button at the bottom of the screen.

The Hide can be reversed simply by unchecking the box next to the Register and clicking the ‘Update’ button.

When a Register is hidden, a history is created of who hid the Register and when. This can be viewed by a hyperlink on the words View History.

How to Assign Responsibility in Bulk In the Search page you can allocate the returned Obligations of a search to a particular Position. Once you have conducted the search, and the result of the search appears on the screen, click the drop-down for the field: ‘Assign responsibility of returned obligations to:’ then select the appropriate Position, and confirm your selection by clicking ‘Update’, all Obligations on the screen are then allocated to that Position with the responsible person. This feature enables initial allocation of Responsibility to be done very quickly. For example, you can do a bulk allocation of a whole Register, then Search that Register again and review the results. By simply clicking through to the individual Obligations, you can refine the Responsibility and reallocate to others on a case-by-case basis. Alternatively, by selecting that Register, and a keyword, you can bring up Obligations that really should belong to another Position, and reallocate them away from the original Position to that person. Before the bulk allocation takes place an alert box will come up with this information: “You are assigning many compliance items to just one user. If you proceed, this change cannot be reversed.” Consider: 1. Checking the report on this page to be sure all compliance items apply to the selected user. 2. Export & save the report so you can re-assign compliance items manually if required. WARNING: If you make an error in this, you can corrupt the whole Responsibility profile of your Obligation library, and once saved, it can’t be undone. Responsibility can also be allocated individually, for each Obligation. This is explained later at Point 10 under Managing Obligations. Note that CARs and MAPs are handled differently; you have to click through to reallocate Responsibility individually.



How to Assign Due Date in Bulk Although the context for doing this is covered later in the manual, it is important that you are aware of this special Administrator function.

In the Search page you are able to set Due Date to the Obligations returned by a search. Once you have conducted the search, and the result of the search appears on the screen, click the date picker for the field: ‘Set due date of returned obligations:’ and then select a date in the future, and confirm your selection by clicking ‘Update’.

From the returned Obligation of the search that don’t have a Responsible person or their obligation type is “Not Applicable” or “Awareness” will not be assigned a Due Date.

Assigning Due Date in Bulk is only for one off Due Date, the bulk action does not set or modify Assessment Cycles. If an Obligation has an Assessment Cycle Set the Next Due Date will be updated, and the cycle will stay the same.

User Department This is an optional setting, to enable Departments to be pre-entered and populate the drop-down in the User Accounts screen.

1. From the Settings menu select User Department (Don’t be concerned with the Lookup Department field at this stage.)

2. Enter the name of the department in the Department field

3. Click Save

Repeat to enter more departments. To change a Department name select it from the Lookup department drop down then make your changes and save.

Duplicate Compliance Obligations In some cases the responsibility of an Obligation in a Subscribed Register is shared with more than one person. This feature addresses this situation, allowing you to duplicate an Obligation from a Subscribed Register. It enables two or more users to be assigned responsibility to the Obligation separately, sign off independently and have their own attached information (CAR, MAPs etc). The duplicate Obligations will share the same ID number and will be located adjacent to the original Obligation in the Obligation List. To duplicate an obligation

1. Select the Obligation you would like to duplicate

2. Select ‘Duplicate’ from the bulk action drop down menu at the top.

3. Click on the ‘Apply’ button



Your Obligation will now appear twice (or as many times as you repeat this procedure). Any changes to the Subscribed Register that affects this Obligation will appear in all duplicates.

User Login Tracking This function enables you to see who has logged into the system and when. When you open this screen you will see all logins.

To trace by person - Select the user from the ‘Search By User’ drop down.

The screen will refresh with the selected user’s login records.

Corrective Action Origin This page enables you to setup the origins of Corrective Action Requests. Don’t be concerned with the ‘Lookup Origin’ drop down list, as the origins will appear in there once the name and description have been entered.

1. Select Corrective Action Origin from the Maintenance menu.

2. Record the origin in the ‘Origin Name’ area e.g. Internal Audit, Customer complaint.

3. Record a description of the origin in the ‘Origin Description’ area.

4. Click Save

The Origin will now appear in the drop down list and in the table below. The screen will automatically refresh so that you can enter the remaining origins. You can now enter the remaining origins by repeating the steps above.

Control Measures Select “Control Measures” from the Maintenance drop down menu.

Don’t be concerned with the Select Control Measure drop down list, as when you enter control measures they will then appear in the drop down list.

A list of typical control measure descriptions is already contained in the setup. You can delete these, change them or add new ones.

To add another control measure

1. Type the description in the ‘Control Measure Description’ box

2. Click Save

The entered control measure will now be available for selection from the Lookup Control Measure drop down list and will be tabled below in alphabetical order.

The screen will refresh automatically so that you can enter remaining control measures by repeating the above steps. To change a control measure description

1. Select the control measure from the drop down list

2. Make the necessary changes



3. Click Save

Delete a measure then simply

1. Select the control measure from the drop down list

2. Click Delete

The control measure must not be in use in any other Obligations in order to be able to delete it.

Tag Management The Tags function allows you to create custom labels to classify Obligations. This enables you to use additional criteria to tailor your reports in special ways. For example, you may want to attach a risk ranking to Obligations marked as ‘Does not Comply’ when they are signed off, or you may want to attach a cost of compliance to Obligations. The possibilities are endless,

To create a Tags system, select “Tag Management” from the Maintenance drop down menu.

A popup screen with space to list tags and their descriptions will appear. You can delete these, change them or add new ones in this view.

To add a Tag

1. Click the +Add button

2. Type the tag name and the optional description. (Tag name must be unique.)

3. Click Save

The entered tag will now be available for selection from the tag button by Super Users. To Change a Tag

4. Click on the name of the tag in the list

5. Make the necessary changes

6. Click Save

To Delete a Tag

7. In the tag list, the Obligations column shows the number of Obligations related to a tag. Tick the check box next to the Tag you want to remove from RelianSys

®, and then click the ‘Delete’ button at the top of the screen. By

removing the Tag you want to eliminate, it will remove it from all Obligations.

Administrator’s Dashboard The Administrator Users have a Dashboard for that role, which is in addition to the standard Dashboard for their assigned role. This is because in RelianSys

® Administrators perform a special function as a ‘clearing house’ for Subscribed

Obligations, which is in addition to the normal Administrator function of setting up the system defaults (explained previously) and managing Users and Positions.

The Administrator Dashboard shows an overview of the system:

Administrator's Overview:

New Obligations

Unassigned Changed Obligations

Unassigned Deleted Obligations

Not Applicable

Awareness



Unallocated Obligations

As new Subscribed Obligations are created, Administrators maintain the compliance system by allocating them to appropriate responsible Users. Provided this is done regularly, all will remain in order. The various overview perspectives enable Administrators to stay on top of this.

While the Not Applicable and Awareness numbers will provide visibility to the numbers categorised this way (and which will be excluded from reporting), aim to have all the others reduced in number to zero.



FOR ALL USERS:

HOW TO USE RelianSys® TO MANAGE COMPLIANCE

Log into RelianSys® When your Administrator connects you to RelianSys

® you will receive an email with your username and a randomly

generated password.

The URL address of RelianSys is: www.adventmanager.com.au. Click on this link.

Your username is your email address.

After the first login you will be requested to change the random password before continuing to RelianSys®.

The new password it must comply with the following:

Minimum 8 digits


Must contain both capitals and lower case letters

Dashboard

The Dashboard page displays the Obligations that are assigned to the logged in user.

You can click on the numbers shown in Dashboard to see a list of Obligations grouped by action required. For each figure from the Dashboard (Not Yet Assessed, Due Soon, Allocated etc.) at the top of the page the select menu is available to filter the Obligations by Register.

Signoff Required:

Not Yet Assessed

Due Soon

Due Today

Overdue

Missed (The numbers of Not yet Assessed, Overdue and Missed should be zero.)

Review Required:

Changed Obligations

Deleted Obligations (Ideally these should be zero.)

Compliance Profile:

Allocated

Complies

Partially Complies

Does Not Comply

Not Applicable

Awareness (The numbers of Partially Complies and Does Not Comply should be zero.)

Due Dates Profile:

Current

Due Date Set

No Due Date Set

Assessment Cycle Set

No Assessment Cycle Set

No Assessment Cycle Required

http://www.adventmanager.com.au/



Changing your Password Log on using the password sent to you by email.

The first time you log on, you will be prompted to change your password. Subsequently, the first main page that will appear is the Welcome Screen, with a list of the various RelianSys

® modules.

1. Click on Compliance

2. Select the Settings drop down from the menu list at the top of the screen

3. Select Change Password from the drop down

4. In the box labelled old password, enter the original password

5. Then enter your new password in the next box and re-enter to confirm

6. Enter new password hint (this is optional, because you can retrieve your password from the login screen)

7. Once completed - Click Save

Note that RelianSys® will require a strong password. This has been instituted for you and your company’s protection. The following is required:

Minimum 8 digits


Must contain both capitals and lower case letters

You will now need to use your new ID login and Password to access the system.

Using the Search Function The Search is located on the top menu bar. Searching is the first stage of using RelianSys

®, before you even start setting

up your own Registers or working on Obligations. It is also the best way to start deployment of your Subscribed Registers to other Users. More on this below.

You are able to search:

Across a selection or all Registers that you have access to using the drop-down list By Responsibility using the drop-down list For any Compliance Source by entering free format text By Specific Reference related to a Compliance Source For Keywords that you are seeking in an Obligation by entering free format text

You can also Search for specific Compliance Numbers, CARs and MAPs. The Search results can be exported to Microsoft Word and Excel. Note that Administrators can also allocate Responsibility and Reminder Dates in bulk using the Search Function.

The Obligation List The Obligation List is the library structure for managing Obligations. Everything in relation to a particular Obligation emanates from this point.

From the Obligation List you can add new Obligations to Internal Registers, view existing Obligations, make changes to existing Obligations and manage Obligations for Internal Registers

The ‘Register For’ drop down will show you the registers you can access.

1. Select the register that you want to add an Obligation to (Any obligations that are already in the selected register will appear below)



You can change the order of obligations as they are displayed in the Register by

2. Click on the change order button

3. Select the applicable register (The compliances will appear in the table below)

4. Simply highlight the compliance you would like to move and use the up and down buttons to move into the correct position

5. Click the “update order” button to Save

To add a compliance obligation

Click the button Add new Obligation.

Managing Obligations You are now ready to manage Obligations by entering data. If you are a Subscribed Registers Client, steps 1-7 only apply to Internal Registers, not Subscribed Registers.

To enter a new compliance Obligation (this does not apply to Subscribed Registers)

1. Click on the Add New Obligation button. The Obligation Registration screen will open. The ‘Entered By’ field will record the username of the person who has logged in.

2. Ensure that the correct date is registered in the ‘Raised Date’ field.

3. Select the required Register from the ‘Register For’ drop down list.

4. Select the Compliance Source from the drop down list.

5. On the right of the screen enter the Specific Reference of the compliance obligation (e.g. paragraph or subsection identifier).

6. Enter the actual obligation in the ‘Obligation’ field. For example: ‘An employer must ensure that an up-to-date written list of each health and safety representative and deputy health and safety representative for each designated work group is displayed at each workplace under the employer’s management and control.’

7. Enter any additional information in the ‘Explanatory Notes’ section.

To set up a new compliance obligation (this applies to both Internal and to Subscribed Registers)

8. Select Obligation Type from the drop down list. This is optional.

Note that two of the options, ‘Awareness’ and ‘Not Applicable’ will remove the Obligation from all compliance reports, except the ‘Compliance Obligation Type with Last Change Comments’ Report. The underlying logic to this is that these categories do not contain any reportable actions, and therefore should not be in the reports to influence your compliance profile. This is particularly relevant for Subscribed Register (more on this below). The options are:

Once off Where you need to take action to comply with an obligation once and does not need to revisit periodically i.e. requirement to register as a legal entity

Date Driven Where you need to take action to comply with the obligation on a periodic basis i.e. annual report return

Event Driven Where you need to take action to comply with the obligation only in response to an event i.e. notification of change of directors

Not Applicable For obligations you will never need to action nor comply (e.g. 2.1 ‘No legislation exists in Victoria governing the registration of Audiologists.’) This is excluded from Reports.

Awareness Where you need to be simply aware of an obligation but no further action is required (e.g. ‘See section K of the Register for further details regarding the requirements for Pharmacy departments and pharmacy depots.’) This is excluded from Reports



9. Enter Assessment cycles, First Due Date and/ or Once Off Reminder. This is optional.

We recommend that you consider carefully before setting due dates, and ensure that you have communicated with all concerned about what is expected of them when they receive the email reminders. This way people do not receive email reminders unexpectedly.

Decide the First Due Date. This is the date on which the Obligation should be reviewed, and which will trigger the reminder email alerts.

Email notifications are sent out on Monday mornings, 1 month before the due date, 2 weeks before the due date, 1 week before the due date and on the day of the due date. If the escalation function has been set up, emails are sent weekly to the designated manager once the obligation is 14 days or more overdue.

If you don’t want to have reminders notified, you can change this so that there is no date indicated. Use the "Clean Date" button.

If the Obligation needs to be reviewed periodically, an assessment cycle can be set. Select a regular period from the ‘Assessment Cycle’ drop down (Weekly, Fortnightly, Monthly, Quarterly, 6 Months, Annually, 2 Years, 3 Years, 4 Years or 5 Years), and a Next Due Date will be automatically generate after the Sign Off for the next period defined in the Assessment Cycle”.

Another option is to manually reset the ‘First Due Date’ after each Sign Off.

The Once Off Reminder sends just one email on the set date. This reminder does not affect the Due Status of the Obligation (Current, Overdue, Missed) and it doesn’t escalate to managers.

The Once Off Reminder is used for when you want to be reminded outside of the default notification schedule. For example if you want to be reminder 6-months prior to a due date.

Perhaps you don’t want to set a reminder date for any Obligation; you can just leave the reminders unset. However, the reports will be ambiguous. They will just say that no reminders have been set. In the Compliance Registration screen, next to the First Due Date selector and just to the right of the Clean Date checkbox, there is another selection: 'No Assessment Cycle Required'. If this box is selected, it will create another category of record in the Organisational Compliance Profile (Current) Report, under the Due Status Breakdown column, 'No Review Required'.

This enables a clearer report outcome: previously it indicated that review dates had not been set, which could infer that nothing had been done.

10. Allocate the Responsible User for the particular Obligation from the drop down list of Positions/Users.

11. Record reasons for changes, or additional comments in the Comment section. This is required for all Obligations when any change is made to them. We recommend that the information should be clear and expansive enough to serve as an auditable record of change.

12. Once complete click on the Save button to ensure that the information is saved. The page will automatically reset so that you can enter further Obligations. To return to the compliance register click on the return to compliance register button. You will now see the compliance you have raised in the register. The diagram below shows how the reminder program logic works.



Updating an Obligation Record To make a change to an Obligation, simply click on the number of the compliance obligation you wish to change. Make the required change. Record in the “Reason For Change” field why the change has been made. You will not be able to save any changes without completing this section. Once completed - Click Save.

Subscribed Registers If you have purchased a Subscribed Registers, your obligations are already available. They can be processed as described above in the Section on Registering a Compliance Obligation in steps 8-12. NOTE: You cannot enter information in the greyed out areas. For Subscribed Registers, these are unchangeable until the Obligation is no longer current (i.e. Deleted status – this is explained below). You are able to tailor the Subscribed Registers to your own requirements. When you review individual Obligations, you may decide that some obligations are not relevant to your organisation. You can refine your Subscribed Register in two ways:

1. By hiding individual Obligations

Click the ‘Hide’ button that is located under the obligation number at the left of the obligation entry. This moves the obligation out of your Subscribed Register into a Hidden Obligations group. It removes the obligation from all normal RelianSys

® functions, including email notifications, escalations and reporting.

The Hidden Obligations screen enables you to see all Obligations that have been hidden by selecting the 'Hidden Obligations’ option from the Maintenance menu drop down.

To see which Obligations have been hidden, you can search across all Registers, or make a selection of individual Registers using the Register drop down. Click 'Retrieve Result', and the Hidden Obligations will appear below the selection area of the screen.

This list is exportable.

Any of the Hidden Obligations can be reversed (i.e. Un-Hidden) and returned to their original location in the Subscribed Registers by clicking the 'Un-Hide' link in the far left column. Remember that Hidden Obligations are excluded from reporting, so when they are Un-Hidden, they will be once again included in reports.



As with most processes in RelianSys, the history of the Hidden/Un-Hidden status is recorded. You can retrieve this by clicking the 'View History' link in the second column.

This function is available only to Administrators and Super Users.

This function should not be used to hide the entire register; to hide a whole Register the Hide Subscribed Registers described below is for that purpose.

2. By hiding whole Registers

This function is available only to Administrators.

Signing Off an Obligation To sign off compliance, first locate the relevant obligation by:

Going to the Dashboard

Using the Search function

Running a report from the reports menu

Locating it from the Register

Clicking through from a reminder email

1. Go the Sign Off Compliance screen. You can do this by either

a. Clicking on the Sign Off button on the Obligation List

b. Clicking on the Status History box, and then clicking on Sign off button

c. Clicking on the Compliance #, and then clicking on Sign off button

2. Select whether it Complies / Partially Complies / Does Not Comply

3. Make a comment regarding the review you have done (This is optional if it does Comply, and mandatory for Partially Complies and Does Not Comply)

4. When an Obligation with an Assessment Cycle is not signed off as “Complies”. It will probably need to be Signed Off again, but in the same cycle. When selecting “Partially Complies” or “Does not comply” to Sign Off you will be given the option to stay or jump to the next Assessment Cycle.

5. If you want to, you can attach files to complement the Sing Off.

6. Click the Sign Off button to finish.

Bulk Sign Off In the Obligations List page at the top as part of the Bulk Actions menu there is the Sign Off option. You can select many Obligations of the same page, select Sign Off from the Bulk Action menu and click on Apply and sign them off in one action.

NOTE: ‘Deleted’ Obligations cannot be signed off. The logical reason for this is that the legislation or requirement is no longer current, so it is not logical to keep working on them. To see previous sign offs you can click on the Status History button next to the Sign Off button or on the number in the Status History box. This box is located at the bottom of each Obligation. In the Status History page a Sign Off button is also available to sign off from there.

Tag a Compliance Obligation The ‘Tag’ function enables you to classify an Obligation according to one or more criteria. For example, you may allocate a risk priority to Obligations by setting up a set of Tags.

To Tag an Obligation simply click on the Tag button. The Tag button is available in the Obligation List, the Obligation screen and in the Sign Off screen.

Start typing a tag name and the auto complete will suggest available Tags. Select one or more appropriate Tags, and click OK.

The Tags must be created in advance by an Administrator.



Managing Updates to Subscribed Registers Updates of New, Changed and Deleted Obligations are regularly made to the system, usually quarterly. The Subscribed Registers Users are notified of these. When a Subscribed Register change is released, each Responsible Person receives the automated advice email alert as shown below, if they are linked to ANY Obligations in the changed Register, even if their particular Obligation hasn’t changed. (This ensures that users are directed to their Dashboard regularly.) Only Changed or Deleted obligations are advised in this way, as New ones will not have a Responsible person allocated – these appear on the Administrators’ Dashboard.

Note that the Responsible Person only receives ONE email, even if they have multiple obligations in one Register, or across a number of Registers. If you have duplicated an Obligation, so that responsibility is shared by a number of people, all people with obligations in that register will receive notification of a change to any part of the register regardless of whether it is a change to one of “their” specific obligations within the Register.

The hyperlink from ‘View Details’ takes the User to their Dashboard, where the number of Changed and Deleted Obligations are listed.

The Changed or Deleted Obligations also appear on each User’s Dashboard. You can click through to see the list in the Obligations List screen.

Changes can also be retrieved in bulk using the Subscribed Obligation Changes Report. You can go to this report at any time to identify what changes have been made. You can also access this report by selecting the Subscribed Obligation Changes report from the Reports menu.



1. Select the Register/s that you are interested in. You can select any or all Compliance Registers using the selection drop down list;

2. You can select only those specific obligations that relate to you (or any other User) by selecting your name from the “Responsible User” drop down menu, or your Position from the “Responsible Position” drop down menu.

3. You can select the latest upload only, by choosing a date in the Search Period selector; this excludes all results before that date;

4. The ‘Change Type’ selector enables selection of New and/or Changed, or Deleted Obligations.

5. The ‘Review Status’ selector enables you to select only “Reviewed” or “Not Reviewed” changed obligations, or “All”. If you select “All” the “Reviewed” obligations will appear differently. This is explained below.

6. Click on Retrieve Result to view the changed obligations for that set of selection criteria.

To look at all changes to all Registers you have access to, simply leave the selectors blank and click Retrieve Results. If you want to sort the report data, you can do this by clicking on the column headers.

The change types are identified by the background colour, which is visible in the relevant Obligation field in the Register:

Pink for a changed obligation Yellow for a new obligation Green for a deleted obligation.

Each New or Changed obligation should be reviewed to evaluate your compliance status. To do this, click on the blue number for the Obligation in the first column on the far left of the screen.

This will take you to the Compliance Registration screen. This will open in a new window. This is shown in the screen shot below – the two tabs are in purple at the top of the screen. This enables you to move between the list of changed Obligations, and the detail of the Obligation you have selected for review.

Review each New or Changed Obligation to assess the impact of the change on your organisation’s operations, and your level of new or continued compliance.

If the Obligation you are working on is New, or the compliance status is now different to what it was previously for a Changed Obligation, click through to the Sign Off Obligation Screen to update the compliance status.

Click on the check box in the “Mark Obligation as Reviewed” area with the red border. This is located near the bottom of the screen, near the Comments area.

Enter a comment in the “Reason for Change and/or Comments” field. For New Obligations, you will also need to assign Responsibility at this stage. You can then save the changes by clicking the Save button at the bottom of the screen. The “Mark Obligation as Reviewed” box with the red border will then disappear.



You have now completed the review of the New or Changed Obligation. Close the window or tab when done.

You will then return to the Obligation you were working on in the Obligation Changed Report. Select the next Obligation in the list to continue the review process by repeating the steps described above.

Deleting Obligations If you select the Deleted Obligations option in the Subscribed Obligation Changes Report, it will always return all Deleted Obligations, regardless of the date selection. This is an over-ride prompt, because Deleted Obligations need to be cleared from your system, by physically deleting them, or moving them to an Archive Register (see below) to keep your compliance content current. When you receive notification that an Obligation has been deleted, you need to delete the Obligation manually from the Subscribed Register.

In the Subscribed Obligation Changes Report, there is a bulk delete option. This has the following controls: 1. Responsibility must match the User, or 2. Only Administrators can do this for any others.

Select the ‘Remove Deleted Obligations’ button. An alert appears to ask you to confirm that you really want to do this, and to remind you that deleted obligations cannot be restored or retrieved. There is no “Undo” button.

Deleted Obligations can also be individually removed from the system, by using the Delete function in the Compliance Registration screen.



Archiving Obligations As an alternative to permanently deleting Obligations classified as ‘Deleted’ or Internal Obligation that are no longer required; you can be archive these in order to preserve your compliance management history. This may be important if you need to be able to show evidence of a history of effective compliance management for legal reasons. Deleted Obligations will have a green background. They are essentially ‘disconnected’ from the Subscribed Register they were originally part of. So instead of deleting them from the system, you can move them to an Internal ‘Archive’ Register. In effect, what you are actually doing is ‘reconnecting’ them back into the system, in a new ‘Archive’ Register.

To do this, you will first need to create an Internal Register. This is explained in the section on Register Management. You could set up a single Register or more, naming these Registers 'Archive' will help to denote what there are used for.

When selecting a Obligation in the Obligations List, the green background will identify the Obligation as Deleted. The original Register name and the Compliance Source will be visible. When you click through to the Obligation in the Compliance Registration screen, you can see the formerly-Subscribed Obligation in edit mode. It has been disconnected from the Subscribed Register to which it was previously attached.

In edit mode, the links to the Register and Compliance Source data tabled are disconnected.

If you go to the ‘Register for’ drop down, all Internal Registers you have access to will be listed. Select the Archive Register. Write a comment of about the change (example: "Archiving") and Save the changes.

The Deleted Obligation or Internal Obligations is moved to the Internal Archive Register, where it is retained for historical reference.

For Deleted Obligations, if you want to keep a record of the Compliance Source that the Obligation was linked to, it will need to be entered first into the drop down list of Internal Register Compliance Sources. This is also explained in the section on Register Management. Alternatively, set up a single Compliance Source of ‘Archive’ (for example). Copy and paste the Compliance Source from the view in the Obligations List into the Obligation field in the Compliance Registration screen. Then Save.

The ‘Reset’ Button Its purpose is to enable the settings that have made to the Obligations to be cleared, so you can start again. You can clear selected obligations of the following settings and returned to the original (cleared) fields:

Responsibility

'Sign Off' Type

Assessment Cycle

First Due Date

Not Yet Assessed

When this is actioned, a warning (with Continue or Cancel options) appears:

The reset is automatically added to the Comment history. This function over-rides even Overdue or Missed Obligations. It is an Administrator and Super User function.



Audit Trails All Obligation registers functions have an audit trail.

This can be seen by clicking on the “View History” button at the bottom of each screen.

The view history audit trail enables changes to all aspects relating to a particular Obligation to be viewed. It shows who made the change and when, as well as identifying what the change was.

Who is my Administrator? This option enables you to locate the RelianSys

® Administrators within your organisation. They are the first point of

contact if you have questions or need help.



Integrating Obligations with Supporting Info, Control Measures and Reports You will find the three means of linking your Obligations to documents in the fields at the bottom of the Obligation in the Obligations List screen: Supporting Info, Control Measures and Reports box next to the Supporting Information Box in the compliance register.

This function enables you to set up links and upload documents. Using these tools you are able to:

Build and preserve organisational knowledge about the Obligation;

Create links to the control measures you have in place to manage the particular Obligation;

Store reports relating to the Obligation.

You have four options to do this:

You can simply list them,

Link to them in other document storage applications such as SharePoint or TRIM,

Link to a web page.

Upload documents onto the RelianSys®

Server. This is particularly useful if you operate in a geographically diverse way, and means that you can see important documents wherever you are.

To use this feature for the first three options above:

1. Click on the highlighted number in the Control Measures box. This will take you into the Current Control Measures screen.

2. Enter the Supporting Information or Report, or for Control Measures select the type of control measure from the drop down list (These are managed through the Maintenance Menu).

3. Enter the title or description of the control measure e.g. Plant Equipment Assessment

4. If the control measure is a document, browse to locate the document. You are able to add, view or click through to any Control Measures that relate to the particular Obligation.

5. Double click on the document and the path will appear in the Document/Hyperlink section. Alternatively, if the document is located on your intranet or on the Web, insert the URL into the Document/Hyperlink section

6. Click the Hyperlink box, if you want to access the document in this way. However, even if you check the Hyperlink box, you cannot access a document on a Shared Drive. Internet Explorer and other web browsers prevent this for security reasons.

7. Click Save. Once you have saved a document, the screen will automatically reset so that you may continue adding documents for the particular compliance obligation.



You will see the control measure and its hyperlink appears in the table above and you can now access it.

For the fourth option, to upload a document to the RelianSys®

Server, instead of browsing in the Document/Hyperlink field:

1. Browse in the “Upload a File Here” field

2. Leave the Hyperlink box unchecked



3. Click Save. The details of the relationship you have now set up will appear at the bottom of the screen.

4. To upload multiple files under the one Description category name. Click on the eye in the “View Details” field. Browse in the “Upload a File Here” field, and instead of clicking the “Save” button, click the ”Upload File” button. The additional files will be listed. You can retrieve them by clicking on the file name.



5. To delete a file, check the “Delete” box next to the file and click “Save”.

The file size upper limit in force is 20MB.

When you have completed setting up all the file relationships, click “Return to Obligation List” button. You will now see the numbers of Supporting Info, Control Measures and Reports you have set up for that Obligation, in the fields at the bottom of the Obligation screen, as illustrated in the example below.

Analytical Methods

You will find the Analytical Methods box next to the Reports Box in the Obligation List.

This analysis can be undertaken for a number of reasons, such as:

a major breach of obligation; a recurrence of less significant breaches of the obligation;

to assist in determining the required systems of control around a particular obligation;

to determine if systems are robust enough to minimise a significant breach or to assist in the development of a contingency plan for potential significant breaches.

The Analytical Methods provides the basis for an action plan. This particular type of Analytical Methods enables identification of the system and educational failures that lead to an actual or potential breach. This then enables systems and competency directed management action plans to be created to reduce the opportunity for the breach to occur or recur. The Analysis also has containment, damage control and recovery components that enable the user(s) to determine the contingency should such an event occur. This can then be documented into your own procedures.

Create or View Analytical Method

1. Click on the number in the event Analytical Methods box. (This will take you into the Analytical Methods Log)

From here you are able to view any existing event analyses conducted against the particular compliance obligation.

2. Select it or click Create a New Event Analysis to undertake a new analysis.

(The details including ‘entered by’ and the ‘date raised’ will default automatically to the person who has logged on and to the current day’s date.)

3. State the Potential or Actual Breach in the EVENT box.

4. Analyse the preconditions to the event and record in the Pre-Conditions field.

5. Analyse the occurrence Just Prior to the Event and record.

6. Determine the Containment Action required if the event were to occur and record in the containment action area.

7. Determine the Damage Control and Recovery requirements and record.

8. Click Save to save the data entered.

The Analytical Method is email-able so that you can send it to others for their contribution. The View History button, when clicked, will show who and what the contribution was.



CAR – Corrective Action Request The CAR function enables you to raise corrective actions related to the particular compliance obligation. The CAR is used to ensure actions are taken to correct issues of concern. They can also be raised in response to such things as audit findings, complaints, process issues, product problems, OHS, improvement initiatives etc. The structure of the process ensures change management is conducted in a controlled manner.

The process is carried out in a number of stages. The way to do this is described below.

1. Create new CAR (Corrective Action Request)

1. Click on the highlighted number in the CAR box. This will take you into the Corrective Action Request Report screen. From here you are able to view any existing CARs raised against the particular Obligation or select or raise a new CAR by clicking ‘Create New CAR’. When you create a new CAR, the details including ‘raised by’ and the ‘date raised’ will default automatically to the person who has logged on and today’s date.

2. Select the origin of the CAR from the drop down list.

3. Complete the ‘Description of Issue’ field, allocate the Responsibility from the drop down list, and select the CAR Due Date. This is the date by which it should be completed, and is normally decided in consultation with the Responsible person.

4. Attach any related files to the CAR (optional)

5. Click 'Save and Save Email'.

6. RelianSys will immediately send an email with the CAR information and a hyperlink that takes them into that CAR in RelianSys

® to the Responsible. Once logged on the particular CAR will automatically open.

2. CAR (Corrective Action Request) Recipient - Investigation and Solution Stage

1. When the Responsible person receives the CAR notification, they are able to start work on the CAR issue. The progress and information is captured in the Investigation and Improvement Plan field. This can be added to and amended over time. (Note there is a 500 character limit for this field.)

2. When the investigation is completed and the proposed solution is identified, the Responsible person passes the CAR on to the person who will authorise the implementation. The person is selected from the 'Implementation Authorised By' drop down list.

3. Click the Corrective Action Complete box

4. Click Save

3. Change Authorisation Stage

1. Send the CAR to the Authoriser by clicking on the 'Send Email' button at the bottom of the screen. The Authoriser will determine if follow up action is appropriate, and if so the date for follow up. You should decide how these roles will operate in your own circumstances, and write it into your internal procedures.

2. Responsibility for Implementation can stay with the original person, or be reallocated to a new person.

4. Implementation Stage

1. The Authoriser (who will be an Administrator or Super User) will then complete and save details of the follow up regarding the effectiveness of the corrective action taken, in the 'Implementation Record & Confirmation of Effectiveness' field.

2. Record the name of the Authorising person.

3. When follow up is complete click the ‘Corrective Action Complete' button. RelianSys® will then recognise

the CAR has been completed. The CAR is now highlighted in yellow in the Corrective Action Request Report page. Once all CARs that are raised for a Compliance Obligation are closed, they are marked as ‘Completed’ in the top left corner of the Corrective Action Request Report screen.



Comments

Comments can be added to the CAR at any time; for example to record the progress. They are included in reports.

Email reminders

Notifications are sent out on Monday mornings 2 weeks before the due date, 1 week before the due date and on the due date. Escalations are sent weekly once the CAR is overdue by 14 days or more, and escalated if that option is set up.

Managers will receive an additional consolidated escalation email once per week showing any CARs, MAPs or Compliance Obligations that their staff is - a minimum of one week overdue in taking action on.

The only time other emails are received by staff is if a CAR or MAP is raised for the first time and sent to a recipient.

MAP™ – Management Action Plan

You will find the MAP™ box next to the CAR Box in the Obligation List.

How to Raise a MAP

TM

This function enables you to raise MAPs related to the particular Obligation. The MAPTM

is used to plan and automate multiple actions required by multiple people to correct issues of concern regarding the particular Obligation. They can be raised in response to such things as event analysis, setting of objectives and targets, incident and compliance management strategies or to implement further control. They can also be used to manage projects, and to take advantage of the reminder function for such applications as meeting agendas.

1. Click on the number in the MAPTM

box. (This will take you into the MAP Report)

From here you are able to view any existing MAPs raised against the particular Obligation or select or raise a new MAP

TM. For the first MAP

TM just start entering the necessary information; for each subsequent MAP

TM click

the ‘Add/Create New MAPTM

’ button.

When you create a new MAPTM

, the details including ‘entered by’ and the ‘date raised’ will default automatically to the person who has logged on and to the current day’s date.

2. Set up the project, by entering the details for the MAPTM

in the Business Case, Current Position, Future Position and Objectives fields.

3. Select the Sponsor’s name from the drop down list and select the start and finish dates from the date selectors.

4. Upload any relevant files.

5. Click Save.

Your MAPTM

will look like the screen below:



Determine the action activities required Click on ‘Add New Action Plans’ to enter the activities, responsibilities, risk, resources, timeframes and review intervals for each activity. (The review interval will email the responsible person at the selected times to remind them to update their progress against their activity).

1. They can then click on the eye next to their activity. (This will take them into their activity screen where they can record their comments. The system will automatically date stamp and record the logon name and the details entered).

2. Click on Save after adding each activity. (The screen will reset after each save so that you can add further activities).

3. Once completed, click return to Management Action Plan.

4. You can now email the MAPTM

to all the required people by clicking on the send email button and completing the details in the email screen.

MAPTM

Recipient/s The recipient will receive the notification of the MAP

TM in an email with a hyperlink that takes them into that MAP

TM in

RelianSys® where they can view the details. If not logged on, this hyperlink will take them to the log in screen.

Once logged on the particular MAPTM

will automatically open.

Email notifications are sent out on Monday mornings 2 weeks before the due date, 1 week before the due date and on the day of the due date. Escalations are sent weekly once the MAP

TM is overdue by 14 days or more, and

escalated if that option is set up.

If the responsible person does not take action they will receive one consolidated email once per week showing anything due over the coming two weeks, anything due that particular day and anything overdue. They will also receive an email reminder on the due date.

Managers will receive an additional consolidated escalation email once per week showing any CAR’s or MAPs that their staff are at least one week overdue in taking action on.

The only time other emails are received by staff is if a CAR or MAP is raised for the first time and sent to a recipient (e.g. you or someone else raises a CAR or MAP and sends it to someone).

Once the action is completed the responsible person can:-

1. Click on the eye next to their item. (This will take them into their activity screen where they can select the completion date from the date selector)

2. Email the Sponsor (Administrator or Super User permission level) to advice of completion.

Close-out stage

Once verified, the Sponsor clicks the ‘To Close’ button for the particular activity in the MAP™ - Action Plan Report screen. RelianSys

® will then recognise the MAP™ has been completed. This stops the email reminder function. The

line for that individual Action Plan in the Management Action Plan (MAP™) screen is now highlighted in yellow.

The Sponsor can update information regarding progress at the bottom of the main Management Action Plan (MAP™) screen.

Once all MAPs that are raised for a Risk are closed, they are marked as ‘Completed’ (highlighted in yellow) in the top left corner of the Management Action Plan (MAP™) screen.

Definitions on email alerts in MAPs:

1. MAP refers to the MAP finish date 2. MAP-action refers to the Time Frame/Due Date in the MAP - Action Plan report



3. MAPa-review (short for MAP Action Review) refers to the Time Frame/Due Date in the MAP - Action Plan report, but is actioned according to the Review Period (effectively the request to be reminded at certain selected periods leading up to the Time Frame/Due Date).

When a MAP is created, each subtask (i.e. MAP™ - Action Plan Report) will have a Raised Date. The Sponsor of this MAP™ - Action Plan Report has the option to manually send an email to notify the person who has been given Responsibility to work on the subtask, that the MAP™ - Action Plan Report has been created and that they need to action it. Also, When the MAP™ - Action Plan Report is set up, a Time Frame/Due Date is nominated. Email notifications are sent out on Monday mornings 2 weeks before the due date, 1 week before the due date and on the due date. After that date, they get weekly "MAP-action" reminders. Escalations are sent weekly once the MAP™ is overdue by 14 days, provided that option is set up. There is no reminder sent out when the MAP™ is initially created as it is assumed that there would have been consultation with the involved parties prior to creating the task. It is possible to set a Review Period, for the time interval between the initial Raised Date and the Time Frame/Due Date. This does not have to be set. It is intended to be a regular reminder to the person who has Responsibility to undertake regular actions to keep the project on track, and to record progress. As the Review Period date comes around, an emailed Action Review ("MAPa-review") reminder is generated. Mapa-reviews are no longer sent after the MAP action plan due date is passed. So the MAP-action and the MAPa-review both relate to the Time Frame/Due Date in the MAP - Action Plan report, not in the MAP. When you receive a reminder email, the due date refers to the due date of the action plan. This applies to both the MAP-action and the MAPa-review. Reminders are sent as consolidated emails on Monday mornings, incorporating all CARs, MAPs and Compliance Obligation reminders.



GENERATING REPORTS The Reports menu contains all reports of the compliance status for your organisation. The table below provides an overview of the available reports, and their purpose.

Note - all reports will provide reliable information limited to the Registers to which the user retrieving the report has access. This is clearly shown in the Register selection drop down; non-accessible Registers are greyed and not selectable.

COMPLIANCE REPORTS SUMMARY TABLE

Report Name What you use it for

1. Compliance Profile by Position / User

A summary/overview report that allows you to create a Compliance Profile by many Positions/ Users showing:

Number of Obligations assigned/not assigned to Users

Compliance Sign-off Status

Review Currency Status

This is a useful report for a Manager to obtain the compliance profile for their department, or those who report to them. It is very useful for quickly monitoring Users’ activity in implementing or maintaining their compliance responsibilities.

2. Compliance Profile by Register

This reports allows you to get the compliance profile of just one or many Registers at the same time. Including how many Obligations haven’t been allocated by Register.

3. Organisational Compliance Profile (current)

A summary/overview report that allows you to create an Organisational Compliance Profile showing:

Number of Obligations assigned/not assigned to Users

Compliance Sign-off Status

Review Currency Status

Selections can be based on Responsible person (allocated or not allocated), single or multiple registers, and compliance source.

4. Organisational Compliance Profile (history)

Same as Organisational Compliance Profile Current (above)- but can select a historical date or date period

5. Compliance Obligation Report (current)

Search for obligations by Compliance Sign-off Status (Complies / Partially Complies / Does Not Comply / Not Yet Assessed) and their Currency Status (due/current, overdue, missed)

Search for Compliances allocated or not yet allocated a Responsible Person and filtering it by Responsible Person, date or compliance source

6. Compliance Obligation Report (history)

Same as Current (above)- but can select a historical date or date period

7. Compliance Status Report

Search for obligations by their “sign off”” type: - Once off, Date Driven, Event Driven, Not Applicable and Awareness summary report of the Compliance Registration Screen ; and filtering it by Responsible Person, Assessment Cycle Signoff Type

8. Compliance Status With Sign Off Comments Report

Search for obligations by their latest “Compliance Status”: - Complies, Partially Complies and Does Not Comply, and the comment when it was Signed Off.

The obligations can be filtered by: Compliance Source, Responsible Person, Responsible Position and Tags.

9. Compliance Source/Obligation Report

Retrieving all Obligations that relate to a specific Compliance Source (i.e. an Act or Regulation) and filtering it by Responsible Person

10. Compliance Obligation Type With Last Change Comments

This report returns the last transactional comment of Obligations, filtered by the Obligation Type



COMPLIANCE REPORTS SUMMARY TABLE

Report Name What you use it for

11. Compliance Obligation Type With Internal Notes Report

List all Internal Notes in just one of one or many Registers.

12. Compliance Controls Report

Search for obligations with (Supporting Information, Controls and attached Reports)

Search for obligations by Responsible Person, Assessment Cycle

13. Register - Compliance Source Report

Produce a list of the Compliance Sources for any selected Register or Registers.

14. CAR/MAP Report Search for completed or uncompleted Corrective Action Requests (CARs) or Management Action Plans (MAPs). And filtering it by Responsible Person and date

15. Subscribed Obligation Changes Report

Search for changes that have been made to obligations in your Subscribed Registers. Enables you to see if changes have been reviewed by the Responsible Person the last change, and the date of that change.

Based on You can extract the report based on any combination of:

1. Single or multiple registers.

2. Type of change: New / Changed / Deleted/All

3. Responsible Person, or for all Responsible People.

4. Review status: reviewed or not reviewed

5. Responsible Person

6. Time periods

1. Compliance Profile by Position / User

This report provides the same information in the Organisational Compliance Profile (Current) report, but grouped by Position. With this report you can generate the position profile of many Users in just one action. Its purpose is for an executive manager to quickly review the compliance performance across a span of control.

The report includes the following fields:

Compliance Status Breakdown :

o Complies,

o Partially Complies

o Does Not Comply

o Not Yet Assessed

Due Status Breakdown

o Current

o Overdue

o Missed

o No Due Date Set

o No Assessment Cycle Required



2. Compliance Profile by Register

This report uses the same structure as "Compliance Profile by Position/User Report" but the results are separated in rows by Register. This reports allows you to get the compliance profile of just one or many Registers at the same time.

3. Organisational Compliance Profile (Current)

The Organisational Compliance Profile (Current) report enables you to build a total compliance overview of the organisation, or part of the organisation. This report provides a compelling insight to the degree of implementation and maintenance of your compliance management system.

The report provides you with three perspectives:

1. Compliance Status Breakdown, with categories of Complies / Partially Complies / Does Not Comply / Not Yet Assessed

2. Due Status Breakdown, with categories of Current / Overdue / Missed / No Due Date Set. These perspectives are shown schematically in the Compliance Manager Obligation Status Timeline. This is contained in the User Manual, and is downloadable from the document management system.

3. Allocated Responsible Person Breakdown, with categories of Responsible Person Allocated / Not Yet Allocated.

The report structure is shown below:

The report can be tailored to provide information in combinations of:

Within a single Register or across multiple Registers

Specific or all Compliance Sources

Specific Person Responsible or all Responsible Persons

Assessment Cycle Period, (ranging from weekly to five-yearly)

Any selected Current Due Date

Note that if an Obligation Type is tagged as ‘Not Applicable’ or ‘Awareness”, it will not be included in this report.

Reports can also be exported to Word or Excel.

4. Organisational Compliance Profile (History)

The Organisational Compliance Profile (History) report enables you to build a compliance overview of the organisation for any selected previous Sign Offs points in history. The report provides you with two perspectives:

1. Compliance Status Breakdown, with categories of Complies / Partially Complies / Does Not Comply / Not Yet Assessed

2. Allocated Person Breakdown, with categories of Responsible Person Allocated / Not Yet Allocated.

The Due Dates Status Breakdown is not included in this report.

The report structure is shown below:



The report can be tailored to provide information in combinations of:

Specific Registers or all Registers

Specific Compliance Source or all Compliance Sources

Specific Person Responsible (Manager)or all Responsible Persons (Managers)

Assessment Cycle Period, or all Obligations

Any selected past date



5. Compliance Obligation Report (Current)

The Compliance Obligation Report (Current) enables you to obtain a summary report of the Sign Off information within a single Register or across multiple Registers; it is also possible to obtain this by Responsible Person, Assessment Cycle and Signoff Type.

You can obtain the report for obligations within a single Register or across multiple Registers, by filtering for:

Compliance Source, to enable the compliance signoff details to be retrieved by Act or Regulation

Assessment Cycle period (ranging from weekly to five-yearly)

Compliance Sign-off Status (Complies / Partially Complies / Does Not Comply / Not Yet Assessed)

Currency Status (due/current, overdue, missed)

Responsible Person

You can also select to include Obligations allocated or not yet allocated to a Responsible Person, or the total of both. This is very useful in the implementation stage, when you may want to know how the deployment process is progressing. The report provides, for each Obligation, the following information:

Responsible Person


Last Compliance Sign-off Status



Last Sign Off Date





6. Compliance Obligation Report (History)

The Compliance Obligation Report (History) enables you to obtain a summary report for a historical date of the Sign Off information within a single Register or across multiple Registers; it is also possible to obtain this by Responsible Person, Assessment Cycle and Signoff Type.

You can obtain the report by filtering for:

Compliance Source, to enable the compliance signoff details to be retrieved by Act or Regulation




Responsible Person

You can also select to include Obligations allocated or not yet allocated a Responsible Person, or the total of both. This is very useful in the implementation stage, when you may want to know how the deployment process is progressing. The report provides, for each Obligation, the following information:

Responsible Person


Last Compliance Sign-off Status



Last Sign Off Date

Note that if an Obligation Type (in the registration screen area) is tagged as ‘Not Applicable’ or ‘Awareness”, it will not be included in this report.


7. Compliance Status Report

This Report enables you to obtain a summary report of the Compliance Registration Screen information within a single Register or across multiple Registers.

This enables a broad overview of the compliance information and sign off information that have been put in place for your organisation.

The report shows the details of each individual obligation, and you can filter for:

Due dates

Responsible Person

Obligation Type (once off, date driven, event driven, awareness, not applicable). This allows you to check which obligations are tagged ‘Awareness; or ‘Not Applicable’.

Compliance Status


8. Compliance Status With Sign Off Comments Report

The Compliance Status With Sign Off Comments Report enables you to obtain a summary report to keep track of the compliance status of selected obligations and includes the recorded comments and attached files at the moment it was signed off.

The report can be generated by: Register Compliance source Responsible person Responsible position Compliance status Tags.

In this report you have the option to limit the result of the last Sign Offs by a date interval; for example you could get the list of Obligations that were Signed Off during the last 3 months.



9. Compliance Source / Obligation Report

The Compliance Source / Obligation Report enables you to report for all Obligations that relate to a specific compliance source (i.e. an Act or Regulation).

You can search within a single Register or across multiple Registers or by individual Obligation and Specific Reference.

This report can also be used to review the allocation of responsibility against specific compliance sources.

Note that if an Obligation Type is tagged as ‘Not Applicable’ or ‘Awareness’, it will not be included in this report.


Note that the list of Compliance Sources can be exported to Word or Excel from the Maintenance/Compliance Source screen.

10. Compliance Obligation Type With Last Change Comments

This report provides a highly flexible means of reviewing the change history for various selections of Obligation criteria, including:

Register selections

Tags

Compliance Source

Assessment cycle

User/Position In addition, specific Obligations can be selected.

11. Compliance Obligation Type With Internal Notes Report

The Compliance Obligation Type with Internal Notes Report enables you to obtain a summary report to keep track of the Internal notes in the obligations.

The report can be generated by:

Register

Compliance source

Responsible person

Responsible position

Compliance status

Obligation Type

Tags.



12. Compliance Controls Report

The Compliance and Obligations Controls Report enables you to retrieve all Obligations linked to Supporting Information, Controls and attached Reports.

You can search/filter within a single Register or across multiple Registers in or by individual Obligation.

The report shows the details of each individual obligation, as well as the following:

Responsible Person

Assessment Cycle (ranging from weekly to five-yearly)

Note that if an Obligation Type is tagged as ‘Not Applicable’ or ‘Awareness’, it will not be included in this report.


13. Register - Compliance Source Report

This report produces a list of the Compliance Sources for any selected Register or Registers. The report selection is positioned as the second report in the drop down. The structure of the report is that the Register drop down is the only selection criteria. The report has two columns: 1. Register 2. Compliance Sources list per Register. Where a number of Registers are selected, there is a line break between each Register. This report is exportable.

14. CAR / MAP™ Report

The Compliance Analysis - CAR / MAP™ Report enables you to obtain a report showing the details of Corrective Action Requests (CARs) or Management Action Plans (MAPs™).

You can obtain the report for obligations within a single Register or across multiple Registers, by filtering for:

Responsibility

Completed or Uncompleted (which enables you to monitor progress)

Date range options.

The report provides the following information on CARs and MAPs™:

Reason for the CAR or MAP™

Date raised/date closed and number of days it has been open

Time Frame / Due Date

Responsible Person




15. Subscribed Obligation Changes Report

Updates to Subscribed Registers Updates are regularly made to Subscribed Registers, in order to keep your compliance information current. When an Obligation within a Subscribed Register has been updated (new, changed or deleted), the Responsible Person for that obligation will be automatically notified of the changes by email.

The Subscribed Obligation Changes Report enables you to view the changes that have been made to obligations in your Subscribed Register.

The report enables you to see the last change, and the date of that change. As a document control record, it will retain the information for any Obligation until the Obligation is subsequently changed again.

You can extract the report based on any combination of:

1. A specific register, or across multiple registers.

2. The type of change: All / New / Changed / Deleted.

3. Responsible Person, or for all Responsible People.

4. Review status (Reviewed or Not Reviewed) -

The nature of updates are identified by the background colour, which is visible in the relevant Obligation field in the Obligation List, and across the screen width for this report:

Pink for a changed obligation Yellow for a new obligation Green for a deleted obligation.

This report provides the following information:

Register affected by change

Legislative or other requirement that has changed

The specific Obligation as it currently exists after the change

The Type of Change (New / Changed / Deleted)

The date that the change became effective

The person who has been allocated Responsibility for this Obligation

Once you have created the report, you can click on any of the underlined column headers to sort the table. Alternatively, you can export to Excel or Word. (For Excel, go to Format Cells > Alignment and deselect the Merge Cells option to format the file for further analysis.)

For each updated obligation, the Responsible Person should review it to see how it affects your organisation, and apply/update relevant controls, supporting documents, or if the obligation needs to be reallocated.

Note that when you receive notification that an obligation has been deleted, it is decontrolled to enable you to delete the obligation manually after reviewing and saving relevant information. By clicking through the hyperlinked Obligation number, you will go to the Obligation Registration screen (1

st click) and

from there to the Compliance Registration screen (second click).

When an Obligation changes, you will see the red text box in the ‘Current Comment’ bar:

You need to review each updated Obligation to see how it affects your organisation, and take appropriate action, depending on the depth of deployment your organisation has chosen to undertake. This may include signing off the Obligation, applying relevant controls, supporting documents etc. You need to consider the impact of the change on your organisational operations. This may require you to update the compliance signoff actions bar for that Obligation, and record a comment on the change.

By checking this box, you will effectively signoff the Obligation, and the background of the Obligation field in the Subscribed Obligation Changes Report will change from the pink, yellow or green colour to a grey colour with red text, and a "Obligation Change Reviewed" watermark.

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