Scheduling and managing compliance tasks
  1. Audit and compliance
  2. Scheduling and managing compliance tasks

Complete a compliance task

When a compliance task is due, the Action Officer receives a task to complete. In the Action stage you can record the action taken and upload any related documentation. When completed, the Approval Officer will be advised.

Quick steps to completing an compliance task:

  1. Go to the Task management component 
  2. Follow the instructions provided
  3. Select from the Task options provided
  4. Complete the required fields 
  5. Attach relevant documentation/records 
  6. Click Submit


When a compliance task has been sent to you to action, it will be in the Action stage of the workflow as per the following diagram:

Form components

Compliance summary The name of the compliance task
Action history A chronological list of actions within each stage the compliance task and the comments users have made. 
Task management Your options for completing the compliance task or making a progress note.
Attach records Where you can attach files relevant to the compliance task such as equipment servicing reports. 
System event history A chronological list maintained by the system of most entries, changes, and linkages made in the system in relation to this compliance task. 

Action history 

This component displays instructions, actions taken, progress notes and comments made to date as the item has progressed through the workflow.

Task management

You have been assigned a compliance task to complete.

      • Instructions - these are the instructions for completing the task 
      • Compliance source documents - if source documents, e.g. relevant funding contract, warranty agreement, were linked to the Compliance details form a link to these documents will be displayed on the Task management form. 
      • Reference documents - if reference documents, e.g. related policies, templates, forms, guidelines were linked to the Compliance details form a link to these documents will be displayed on the Task management form.

      Task options

      Sign off as complete

      Select this option when you have taken all action as per the task instructions.

      • Action taken - add details of action taken. These comments will appear in the Action history and will be helpful in informing others of what action was taken.
      • Additional comments (optional) - use this field to add any additional comments relating to the task. These comments will appear in the Action history.

      Make a progress note

      Select this option when you have taken only part of the action as per the task instructions.  

      • Make a progress note - add details of action taken. These comments will appear in the Action history and can be helpful in keeping others informed of what progress has been made to date in reviewing the contract. For instance, if the task relates to preparing an acquittal report required by a funding body, you might make a progress note stating that you have "Drafted the report and arranged a meeting with the relevant program managers to discuss issues".

      Note: when you make a progress note and submit the form, the task will remain with you in the Review stage. It will only move to the next stage of the workflow when you select Complete review.

      Attach records

      This component enables you to attach records such as records verifying the compliance has been completed. For example, in relation to the task of drafting an acquittal report, a copy of the report would be a related record. Records can be attached at each stage of the workflow. Click Attach to add records. 

      • Record name - When naming the record ensure the description is meaningful and easily found when searching. For instance, "Acquittal Report - Department of Health - March 2022".
      • File or Link - click on Choose file and navigate to the record on your computer.  If you have links enabled, toggle to change the control to add a URL to the record. The URL must be a in a web (http://) or Microsoft SharePoint format (https://<company>
      • Viewing permissions - by default, the viewing permissions for the record will inherit the viewing permissions set in the Assign component on the Compliance details form, however, you can apply a different level of access for the record. This is because the record itself can also be accessed via the Records register. 

      Submit/save the form

      Once a task option is selected, click the Save/Submit button to save the form and complete the task. Note: The button language will change to Next if you are also responsible for the next stage in the workflow. 

      Select Create a related item if you want to create a separate linked item on another register when you save the form. A link between the two items will be displayed in each item's System event history. For example, if you want to suggest an improvement, you could select the Improvement option to create a new item in that register. The platform will display a link between the two items in the System event history.