Compliance Audit - Overview

Introduction

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.
  • Review dates are colour coded according to whether they are overdue, due within four weeks, or further ahead.

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.
Compliance Manager Owner Viewer School Staff
Appoints owners Yes No No No
Appoints viewers Yes No No No
Assigns owners Yes No No No
Updates own items Yes Yes No No
Updates other items Yes No No No
Views own items Yes Yes Yes No
Views other items Yes Yes Yes No
Dashboard summary Yes Yes Yes No
Print reports Yes Yes Yes No
  • 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".

image

Operation

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.

The main Compliance Audit page, accessed from the Dashboard lists all the Compliance Areas with their Owners and a progress indicator showing the status of the Compliance Items in that Compliance Area. At the top of the page there is a button to access a list of all Compliance Items, another one to Print a report of the status of all Areas and Items and, for managers, access to the Admin/Setup pages. image

Compliance Items can be reviewed and updated either from here or from their parent Compliance Area page. image 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 Compliance Owners who will receive reminders about them so that they can be involved in the coordinated update of them.