3.3.9 Compliance Obligations Register Item Assessment
Each document in your Compliance Obligations Register can be assigned a specific Assessment.
By default, all documents are set to “Un-Assessed”. Please note that account administrators can change the titles of these options via the Account Administration settings page (see Account Management section of the Support portal).
As compliance and applicability is assessed, users can change the assessment to one of the following options:
- Un-Assessed (blue): The document has not been assessed at all.
- Requires Review (yellow): Something at your operations has changed and the document should be reviewed by your team.
- Applicable (purple): The document has been found to contain obligations that are applicable to your operations.
- Not Applicable (grey): The document does not contain any obligations that are applicable to your operations.
- Complying (green): You have conducted a compliance audit and you comply with this document’s obligations.
- Non-Complying (red): You have conducted a compliance audit and you do not comply with the obligations of this document.
Each time you change a document’s assessment, an entry is created in the Assessment History. The Assessment History entry will include:
- New Assessment
- Date of Change
- Time of Change
- Person who made the change
- Note left when change was made
The exportable Excel version of your Compliance Obligations will include the latest change and allow you to demonstrate assessment to regulators through the creation of a concordance table.