Compliance Task Launcher

The Compliance Task Launcher Accelerator utilizes intuitive features to streamline the process of creating, managing, and reviewing Compliance Policies and Tests. 

This Accelerator offers pre-installed features like the Start Compliance Year Review Flow, which performs a Compliance Review for the current year. Users can access this information by navigating to the Compliance Policies Dashboard. If the system detects a completed yearly review, it will notify the user before completing this action. 

The My Compliances Tasks Dashboard displays a list of assigned Compliance Tests that need to be completed. To complete an Assignment in the Dashboard, Users can right-click and select Review Compliance Task Assignment. Test Reviewers will receive an email with the option to approve or reject the test. 

The Compliance Task Launcher provides a responsive interface for Users to organize policies for maximum efficiency and is versatile to accommodate various compliance needs within the industry. 

Key Features:

• Policy creation for various Policy types
• Yearly Compliance Review
• Ability to assign tasks to Users in the My Compliance Tasks Dashboard

Considerations

All projects that include scheduled jobs have them disabled by default. Users need to enable these jobs individually to work after importing this and other projects in the Marketplace/Appstore. For Compliance Task Launcher, users must enable: Start Compliance Tasks. To enable the Scheduled job, navigate to:

1. System > Jobs and Events > Scheduled Jobs > Start Compliance Tasks. 
2. Right-click on the job and select Enable Job.
3. By default, this scheduled job will run daily. 

Main Flows

Start Compliance Tasks 

The Flow runs as a Scheduled Job that fetches pending Compliance Test Reviews and updates their status to In Progress if the run date exceeds the current date. 

Start Compliance Year Review

This process creates a main Flow and is utilized in the Compliance Policies Dashboard. This Folder Action will trigger the Compliance Year Review Flow for the current year and check whether a Compliance Review has been performed already. If the system detects a Compliance Review has been started, Users will be notified, otherwise, a review for the current policy year will be generated. 

Run Compliance Assignment Trigger Flow

This Flow is a Trigger Flow that runs when a Compliance Review is in the In Progress and Sent-Back Configuration States. This process fetches all Compliance Policies and section-related fields from the Sent-Back state and transfers them into the Compliance Task Assignment Form. When a User receives this Assignment, they can update the required fields, add comments if necessary, and also have the opportunity to upload necessary files to be stored in File Reference. 

Run Compliance Review Trigger Flow

This Flow is a Trigger Flow that runs when a Compliance Review is in the In Review Configuration State. This process fetches all data from the Section and Policy Reviews and Test Details. Associated information will populate on the Compliance Assignment in Review Form, and Reviewers can decide whether to approve or deny the request. If a Reviewer approves the Test, the Compliance Review will be updated with a completion date and include attached comments. If a Reviewer denies the request, the User will receive an email with rejection comments and the assignment will be set to the Sent-Back Configuration State. 

How to Use Compliance Task Launcher 

Creating and Editing Policies 

Creating a New Policy:

• To create a new Policy, navigate to the Compliances Policies Dashboard and select Create New Policy. 
• Fill out the required fields on the Policy Form and select Submit. 
• Admins can create multiple policies. 

Editing an Existing Policy:

• To edit a created Policy, Users can right-click on the Policy in the Dashboard and select the Edit Policy User Action. 
• A Form will populate enabling Users to edit any of the Policy fields. 
• After editing desired fields, select Update. 

Creating and Editing Sections

Creating a New Section:

• To create a new Section, navigate to the Compliance Policies Dashboard and right-click on any of the created policies. 
• Select the User Action Add New Section for Policy fill out the required fields and select Submit. (Multiple Users can be added to the Reviewer Drop-Down field)
• Created sections will be shown on the right side of the Section Report for the particular Policy Section. 

Editing an Existing Section:

• To edit created Sections, Users can right-click on any of the created Sections and select Edit Section. 
• A Form will populate enabling Users to edit any of the required fields. 
• Select Update to close the Form to save any changes. 

Creating and Editing Test Templates

Creating Test Templates:

• To create a new Test Template, navigate to the Compliance Policies Dashboard.
• Right-click on any of the created sections and select Add New Section. 
• A Form will populate for Users to fill out Compliance Test details. 
  • In the Frequency Field, users can select a Frequency from a Drop-Down list and can add months and days according to the selection. 
  • For Monthly, months are fixed, and the User will only be able to select days. If the wrong day is selected the Form will throw a validation message asking to re-enter the day selection. 
  • For Quarterly, Semi-Annual, and Annual, the User can enter the month of the Frequency as well as a specific day. A validation message will appear if an incorrect month or day is chosen. 

Editing Test Templates: 

• To edit a created Test Template, navigate to the corresponding Section, right-click on any of the tests, and select Edit Test.
• A Form will populate for Users to edit the Test fields. 
• Select Update to save any changes and close the Form.  

Running Ad Hoc Tests

• To run an Ad Hoc Test on a created Policy, navigate to a Section on the Compliance Policies Dashboard. 
• From here, right-click on any of the Sections and select Run Ad Hoc Tests.
• Selecting this User Action will populate a Form enabling the User to view Policy details. 
• If the chosen Section is in the Completed State, Users will not be able to see the User Action Run Ad Hoc Tests. 

Starting a Compliance Year Review

• To start a Compliance Year Review, navigate to the Compliance Policies Dashboard and select Start Compliance Year Review. 
•  If a Review has not been generated for the current year, this action will run all Policy and section-associated tests before creating an Assignment. 
  • Associated assignees/reviewers will receive an email with the Assignment enabling them to reject or approve Compliance Tests.
  • The Configuration States will be updated to Completed or Send-Back depending on the results of the review.
  • If the Review is set to Send-Back, comments will be delivered with a reason for rejection, and the Configuration State will be changed to In Progress. 
• If a review has already been generated for the current year, a pop-up will display stating a Compliance Review has already been started. 
• Once reviews have been created for the current year, Users can access this information from the Compliance Tasks and Reviews Dashboard. 
  • This Dashboard contains Pie and Line Charts as well as a Hierarchy Report for all created Policies, Sections, and Tests.
  • Only Users in the Admin Group have access to this Dashboard.

My Compliance Tasks  

• The My Compliance Tasks Dashboard is available to Users in the Compliance Admin Group as well as All Users.
  • This Dashboard displays all assigned Compliance Tests that need to be completed.
  • Users can see the current status of Assignments through the Folder Activity Panel on the right-hand side of the Dashboard. 
  • To work on Assigned Tests, Users can right-click on any assignment and select the User Action Review Compliance Task Assignment.
  • Once a Test has been completed, Test Reviewers will receive an email asking to approve or reject the Test.
  • If a Test is approved, the Configuration State will be set to Complete and Send Back if it is rejected. After rejection, The Test be pushed to In Progress once rejection comments have been provided.