From Definitiv version 3.7, the Compliance Module has been enhanced to allow employees of customers to manage and update their own compliance documents, which can be marked as requiring approval.
When an employee adds or updates a compliance record that requires approval, the record is placed into a draft state that requires approval by a nominated approver. An approver can be either a Line Manager, Project Manager, or another specified user.
Approvers are implicitly granted permission to approve compliance records that are in a draft state, which is done from a new tab called Compliance Records in Pending Requests.
Compliance record approvals can be defined at a global level or a compliance record level.
Define if a Compliance Type requires approval
Not all compliance types require approval. Each compliance type that does require approval from a nominated approval can be marked as requiring approval by checking the This compliance type requires verification and approval checkbox from the individual Edit Compliance Type Screen of the Compliance Type and then by clicking Save.
Workflow
Required Fields
For compliance records that require verification and approval, customers can specify which fields are required values for employees to provide when adding or updating a compliance record. The options are
Date Obtained – the date the compliance or qualification was obtained by the employee
Expiry Date – the date the compliance or qualification the employee is set to expire
Attachments – used when documentation is required to verify a compliance record. Customers can also enter a short note that is displayed to the employee with specific instructions on what attachments are required or how to provide them.
Default Compliance Type Approval Settings
Where: Go to Admin, Configuration, Compliance Types
Instructions:
Click the Settings button at the top right of the screen.
On the modal that is displayed, you can configure
Notification of Expiry – specifies who will receive a notification when an employee’s compliance record is set to expire within the compliance type. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input
Approval Notifications
Specify who will be notified when a compliance type is added or updated – specifies who will receive a notification when a compliance record that is marked as requires verification is added or updated. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input.
Specify who will be notified when a compliance type is approved by an Approver listed above – specifies who will receive a notification when a compliance record that is marked as requires verification is added or updated. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input
3. Click Save Defaults to commit changes for Default Settings.
Compliance Type Specific Approval Settings
Navigate to Admin, Configuration, Compliance Types.
Click the Edit button on a Compliance Record to configure its settings.
On the Edit Compliance Type screen, you set the following
Notification of Expiry – specifies who will receive a notification when an employee’s compliance record is set to expire within the compliance type. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input
Approval Notifications
Specify who will be notified when a compliance type is added or updated – specifies who will receive a notification when a compliance record that is marked as requires verification is added or updated. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input.
Specify who will be notified when a compliance type is approved by an Approver listed above – specifies who will receive a notification when a compliance record that is marked as requires verification is added or updated. Options are Project Manager, Line Manager, Employee or Others – user must enter a user into the Select additional users to notify input
4. Click Save Defaults to commit changes for Default Settings.
Approval Process
When a compliance record that requires verification and approval is added or updated by an employee, the nominated approvers will receive an email notification. From here, they can visit the Pending Requests page to verify, approve or reject a compliance record update via a new tab called Compliance Records.
The Compliance Records tab is only visible to users who are marked as approvers of compliance records.
Compliance record approval updates are also part of the Daily Digest email.
Verifying documents
Before a compliance record addition or update can be approved, any attachments should be downloaded for verification purposes, and if the verification passes, the compliance record is marked as Verified by clicking the Verify Attachments button.
Users can download all attachments by clicking the Download Icon in the Attachments columns.
Note: A Compliance record cannot be approved unless the Verify Attachments button has been clicked, but it can be rejected.
Approving a Compliance record
Once the compliance record attachments have been verified, you can simply click the Approve button. This action will:
Mark the compliance record as approved
Sent the required notifications
Remove the compliance record from the Pending Requests, Compliance Records tab for the current user and all other users marked as approvers of the compliance type.
Rejecting a Compliance Record
When an employee has not supplied the required information or the required information is incorrect, an approver can mark the compliance record as rejected. This is done by clicking the Reject button. When the Reject button is clicked, the user is presented with a screen to supply a Reason for Rejection to the employee.
The Employee is then sent a notification via email with the reason for rejection specified in the email itself.
Global Compliance Types
This feature enhances the current Compliance Module to allow customers to mark a compliance record as Global. This means that the compliance record is not assigned to a Project or Role, e.g., it is used to ensure employees are compliant to work, who may not be assigned to Roles or Projects.
Global Compliance Record Definition
A compliance record is defined as a Global requirement type when its compliance type is marked as This compliance type requires verification and approval
Team Compliance
When a Compliance Record is marked as a Global Requirement Type and an Employee is assigned the compliance record that is due to expire soon or has expired, then the employee is shown as Non-Compliant in Team Compliance.
When a User views the Team Compliance report, click the View button for an employee who is non-compliant due to a Global Compliance Type that is about to expire or has expired, they can see the Compliance Type in the listing, and it is marked as Global in the first Column under Requirement Type.