Compliance Audit - Overview


This module enables schools to keep track of key compliance checks and actions.

  • Checks are organised as separate items within common areas that can be updated individually.
  • Updates can be to either confirm the checks are complete, to update the due date of the check or to record information relevant to the check.

Areas are updated by Compliance Owners who by default are also assigned to each of the Compliance Items in the Compliance Area.

  • The owner of an area can, however, assign individual Compliance Items to someone else provided they are a user of the system and that they have also been assigned the role of Compliance Owner (or Compliance Manager).

Users who have the role of Compliance Manager can assign the role of Compliance Owner to any other user of the system and can also assign ownership of all Compliance Areas and Compliance Items.

  • Compliance Managers must be assigned by an Administrator.

There is also a role of Compliance Viewer that can be assigned to any user of the system. These users can see the status of any Compliance Area or Compliance Item but cannot update them.

  • Any user who can view the Compliance Audit can also print out individual or multiple areas.

Users with access to the Compliance Audit will have a panel visible on their Dashboard that summarises the status of all the compliance items in the Audit.

  • For Compliance Owners and Compliance Managers this panel also indicates the status of the Compliance Items that they "own".


  1. An Administrator must enable the Compliance Audit Module in the Administration section of the system.
  2. An Administrator should then assign the role of Compliance Manager to one or more users of the system.
    • Until at least one Compliance Manager is assigned, Administrators will receive weekly alerts that this task has not been completed.
  3. An Administrator or Compliance Manager can assign the role of Compliance Owner to other members of staff. Doing so means that they can then be assigned ownership of individual Compliance Areas and Compliance Items.
  4. The system will be setup initially with a default list of Compliance Areas and Compliance Items.
    • These are all initially owned by the main system Administrator.
    • These should be reviewed by Compliance Managers and assigned to appropriate Compliance Owners.
    • If any don't apply to your school a Compliance Manager can disable individual items.
    • Compliance Managers can delete Compliance Items or alternatively archive complete Compliance Areas along with their associated Compliance Items.
    • Disabling and then archiving is the recommended approach for unused Compliance Areas and Compliance Items since that is reversible.
    • NOTE - in the current release, default areas and items that are deleted will be restored from time to time so disabling or archiving is a better approach.
    • Compliance Managers receive weekly notifications about disabled Compliance Items.
  5. Compliance Managers can add new Compliance Areas and associated Compliance Items.
    • These can be disabled, archived and also deleted (although they won't ever be automatically restored after deletion) but otherwise are identical to the system provided ones.
  6. Compliance Areas and Compliance Items can be re-ordered in the system by Compliance Managers. The new order is applied for all users.
  7. Compliance Areas and Compliance Items review dates will initially all be empty. Once approved, it is recommended that the review dates are updated to fit with the school's Health and Compliance review cycle.
  8. Where groups of schools choose to coordinate in the system there is additional functionality to ensure consistency of Compliance Areas and Compliance Items and also functionality so that a single central Compliance Owner can be responsible for the same Compliance Item in each school.


All Compliance Areas and Compliance Items are initially marked as incomplete.

  • The Compliance Owner assigned to each will receive an email once a week to remind them of Compliance Areas and Compliance Items that are Unapproved, Not OK or Overdue.
  • They will also be reminded if these are Due for review within the next four weeks.

When marking a Compliance Item as OK the Review Date will be updated to be one year on from the date of confirmation.

  • If, however, the Compliance Item is Due for review within the next 4 weeks the date is updated to be one year from the current review date. The intention of this is that reviews can take place in a timely way before they are due but the review date does not creep earlier and earlier each year.
  • The review date can also be updated independently if it is necessary to change the annual review cycle or to check a Compliance Item more often.

The name of the Compliance Owner of each Compliance Area and Compliance Item is displayed next to it as a "mailto" hyperlink to facilitate quick communication if any queries arise.

In a coordinated group of schools (e.g. a MAT), some Compliance Items can only be updated by the central Compliance Owner. They still have locally set Safty Owners who will receive reminders about them so that they can be involved in the coordinated update of them.