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

Schedule a compliance task

The Compliance register manages critical tasks that are not already managed by the other registers. You can schedule a single or recurring task and the platform will automatically delegate and communicate what needs to be done.

Quick steps to scheduling a compliance task

  1. Go to the Compliance register and click the FAB and select Compliance
  2. Complete the compliance details
  3. Schedule the compliance task
  4. Click Submit

Form tabs

When you click on the FAB to schedule a new compliance task, the Compliance details page will contain 2 tabs:

  1. Description tab - Contains the details and schedule of the compliance task.  This is where you schedule your compliance task.
  2. Series tab - Displays all the compliance tasks in the series as per the schedule. (This tab is not relevant when scheduling a new compliance task - Learn more

Description tab components

Compliance task details Describes the compliance task, creates links to related contracts and other associated documents, and defines the instructions. 
Schedule Where you schedule the frequency and recurrence pattern for the compliance task.
Assign Where you assign the users to complete and close the compliance task.
Attach records Where you can attach files relevant to the compliance task.
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.

The Compliance task details component enables you to describe the compliance task, link related contracts/agreements and other associated documents, and set the instructions for the Action officer.  

  • Compliance task - add the name of the compliance task
  • Compliance type - select the type e.g. management requirement, regulatory requirement
  • Compliance Source document (optional) - select or search this list of documents on the  Contract and Document registers, to add relevant documentation. A hyperlink to these documents will appear at the Action stage.
  • Reference documents (optional) - Choose one or multiple documents from the Documents register to be displayed as clickable links during the Action stage.
  • Instruction type - this is an optional feature that links to the Task Instructions Library. This feature is an add-on for the Compliance Register designed to save time when scheduling tasks by providing access to a menu of built-in instructions to choose from. The Task Instructions Library includes over 100 examples of typical task instructions - Learn more
  • Instructions - define the instructions for conducting the compliance task. The following example illustrates how sequential and concise instructions could help the Action officer. 

      Compliance Schedule

      This component enables you to schedule the compliance task and set the frequency.

      • Click on Schedule to open the scheduler.
      • Approval due date - select the date the compliance task is next to be completed. 
        Note: include time for the Approval officer to approve the task.
      • Action days - number of days the Action officer has to complete the task.
      • Approval days - number of days the Approval officer has to the approval the task. 
        Note:  Based on the Approval due date, the scheduler will calculate and display when the reminder email will be sent (Start date), the deadline for the Action officer (Action deadline) and the Approval due date.
      • Frequency - If the task is required to be completed more than once, select the required frequency e.g. Monthly. If the task is required to be completed only once, select Once off. 
      • Recurrence - select the frequency 'pattern' the task is to occur within the period selected, e.g. every 1 year or every 3 years. Depending on the frequency pattern selected you will be presented with different options to set the 'pattern'. 

      • End - The schedule will default to 'No end' which means new tasks will continue to be automatically created according to the schedule. Alternatively, you can set the behaviours with the following options:
        No end - select this option if the task is to continue repeatedly
        End after - select this option if the task is to End after a specified number of times, eg 4
        End after - select this option if the task is to End after a certain date, eg. 20/6/22
        Halt schedule - select this option when the task is to be halted (stopped)

      Click OK to set the schedule.


      This component enables you to set who will complete (Action officer) and who will close (Approval officer) the compliance task. It's important that these choices align with organisational delegations relating to the management of the compliance in the area the task relates to. 

      • Action officer - select the staff member responsible for conducting the compliance task
        Note: if you select multiple action officers, a separate and duplicate task item will be created for each person selected. These compliance tasks will also have to be closed separately. If you only want one compliance task but a number of staff are to be involved in conducting the task, simply select one Action officer (the lead) and use the instructions to convey how the Action officer (lead) needs to involve other staff in completing the compliance task.  
      • Approval officer - select the staff member who is accountable to close the compliance task.
      • Related business area - select the business area the compliance task relates to.
      • Related meeting - select the meeting that has oversight responsibility for the management of the compliance task, or alternatively select the meeting that the Action officer attends so that they can be reminded through the meeting that they have a compliance task. (This is consistent with the premise that transparency in responsibility leads to greater accountability).

      Access control

      The Access control component is where you define which users have access to view the item. You can grant access to a team or individual users, or both.

      All users can access Select this option if you would like all users to be able to view the item.
      Specify who can access Select this option to control which users can view this item.
      Teams  Select the team/s who need to view the item.
      Individual users Select specific users (if they are not included in the selected team/s) who need to view the item.
      Who can view?

      Click this button to see a list of users who can see the item based on your selection. The list will also include those users assigned to the item in the workflow.

      Note: Users with system level permissions to see all items will also be included.

      Attach records

      This component enables you to attach records such as correspondence. Records can be attached at each stage of the workflow. Click Attach to add records.

      Note: When scheduling the compliance task, it's unlikely that you will attached records at this time. It is more likely that records will be attached when completing the compliance task.

      • Record name - When naming the record ensure the description is meaningful. For example, 'Department of Health - Acquittal Report - March 2022'.
      • Record Category: - select from the list, the type of record eg. 'Report - Acquittal Report'
      • 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

      The green Submit button will save the form and create the first compliance task as a future action.  

      If you want to create a separate related/linked item you can select the relevant register in the  Create a related item component. When you press Submit, the platform will launch a new item in the register you selected. For example, if the compliance task has given rise to an improvement opportunity, 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.

      You can choose to save the compliance task as a draft. In choosing this option, you will be able to complete all components of the form with the exception of assigning the Action officer and the Approval officer.

      Click Save as draft and the compliance task will be saved in the Draft tab on the Compliance register.