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Version 3.3

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Configure TriLine GRC for Compliance

Page contents

Overview

Procedures

Load Compliance Data

Overview

Only Administrators can access the Maintenance Configuration Compliance Section items.

Only Administrators and Administrators - Compliance can access the Compliance Maintenance menu items.

Compliance Risk

TriLine GRC provides the option to show the Compliance Risk. When this option is turned on, the Compliance Risk and Risk Rating will be shown. See Managing general settings, item 3, to turn this feature on.

Additionally, if this feature is on, you may make it mandatory to require a note whenever this value is changed on each Compliance record.

See Managing general settings, item 3, to turn this feature on.

Compliance Title

Note: TriLine GRC recommends Compliance Title to be on. Titles on is mandatory with the Obligations module.

TriLine GRC provides the option to use Compliance Titles. When this option is turned on (highly recommended), the first 300 characters of your existing Compliance Processes descriptions will be copied into the Title field.

See Managing general settings, item 4, to turn this feature on.

Compliance configuration settings

Before using Compliance-related features in TriLine GRC, set up the following configuration items:

Compliance Categories

Compliance Categories are used in TriLine GRC to group Compliance Processes into functional groups for your organisation.

Compliance categories are generally based on two key elements:

When creating your categories, we suggest that you identify all the legislation and regulatory requirements that exist for your business. Examples for the finance industry in Australia would include:

Other industries, such as Not For Profit, may also have to comply with legislative and regulatory requirements, particularly where they receive government funding.

Once you’ve identified the legislation and regulatory requirements that apply to your organisation, the next step is to identify the specific Compliance obligations within the legislation, then build Compliance Processes and Tasks in TriLine GRC to ensure that the necessary work is done.

We recommend that you start the identification process with the highest-level obligations and then expand the scope over time to address all relevant Tasks.

A similar process can then be undertaken with your organisation’s internal policies and procedures, focusing on ensuring that the most important Tasks are captured first.

If your organisation does not have major legislative requirements, an alternate strategy could be to consider the various functions of your organisation and design Compliance Categories around that.

Once your Compliance Categories have been created, the TriLine GRC features such as reports, charts, widgets and lists can then be filtered by these categories to provide focused information.

Configuring Compliance Categories

See the following procedures for configuring Compliance Categories:

Compliance References

TriLine GRC allows you to incorporate References into Compliance Processes and Tasks (Process Controls).

You can use References to link Compliance Processes and Process Controls to external and internal resources that identify and describe legal, professional and ethical standards by which your organisation is bound (e.g. the Corporations Act, the Financial Services Reform Act and the APRA Prudential Standards).

Any web-based reference source (internal and/or external) can be linked. As an example, an external party such as an Auditor may wish to see all the Tasks in place to meet a specific piece of legislation. By creating References, you can quickly generate a report showing the requested details.

You can establish two levels of Reference:

Sub References are useful for linking directly to specific information within a large document or document collection. For example:

Example of a Reference to a Standard and Sub References to sections within the Standard
Example of a Reference to a Standard and Sub References to sections within the Standard

Configuring Compliance References

See the following procedures for configuring Compliance References and Sub References:

Procedures

The Compliance Configuration section settings

  1. From the Main Menu, select Maintenance | Configuration. The Configuration Page is displayed.

  2. Click the Compliance Section icon to open (and close) this section. Change settings as required.

  3. To Save any changes, hover over, or click the Menu Options (Hamburger) icon. Click the Save option.

The ‘Compliance’ section elements
‘Compliance’ section elements
ID Element Description
1 ‘Compliance’ section Click this section to open or close this section.
2 ‘Show Compliance Risk’ switch Click this switch on if you want Compliance Risk and Risk Rating to be shown.
3 ‘Use Compliance Title’ switch Click this switch on if you want the Compliance Title field to be used and shown.
Note: This is a mandatory on switch when the Obligation Module is install, otherwise it is highly recommended this switch to be on.
4 ‘Compliance Rating Change’ switch Click this switch on if you require a note to be added whenever a Compliance Rating is changed.
Note: This setting requires Show Compliance Risk 2 to be switched on to be effective.

Access the Compliance Maintenance Menu

  1. On the Main Menu, select Compliance. The Compliance Maintenance Menu items is displayed for Administrators.

Access the Compliance Categories page

  1. From the Main Menu, select Compliance | Categories.

  2. The Compliance Categories page is displayed.

Add a Compliance Category

  1. Access the Compliance Categories page.

  2. Click the icon.

  3. The ‘Add New Compliance Category’ popup window opens.

  4. Type the Category name.

  5. Click the icon to add the new Category.

  6. Or, click the Cancel icon to stop adding the new Category.

  7. For saved update, the new Compliance Category is displayed in the list and a confirmation message displayed at the bottom of the Page.

Edit a Compliance Category

  1. Access the Compliance Categories page.

  2. Click the icon next to the Category that you want to edit

  3. The Edit Compliance Category popup window opens.

  4. Edit the new name of the Category.

  5. Click the icon to update the Category.

  6. Or, click the Cancel icon to stop adding the new Category.

  7. For saved updates, the modified Category name is now displayed in the list and a confirmation message displayed at the bottom of the Page.

Delete a Compliance Category

Note:
Compliance Categories that are linked to at least one Compliance Process cannot be deleted.

  1. Access the Compliance Categories page.

  2. Click the icon next to the Category that you want to delete.

  3. A ‘Confirm Delete’ dialog is displayed.

  4. Click OK to delete the Compliance Category. The deleted Compliance Category will no longer be displayed in the list and a confirmation message displayed at the bottom of the Page.

  5. Or, click the Cancel icon to stop the delete.

Access the Compliance References page

  1. From the Main Menu, select Compliance | References.

  2. The ‘References’ page is displayed.

Access the Compliance Sub References

  1. Click a chevron icon to display a Reference’s Sub Reference(s).

Add a Compliance Reference

  1. Access the Compliance References page.

  2. Click the icon.

    Note: If any Sub Reference panels are displayed (as shown above), you will see additional icons for adding Sub References. Don’t click these icons by mistake—click the outermost icon as shown in the example above.

  3. Enter the Reference 1.

  4. Enter the URL 2.

  5. Click the Save icon 3 add the new Reference.

  6. Or, click the Cancel icon 4 to stop adding the new Reference.

    ‘Add New Reference’ fields
    ID Field Description
    1 Reference Type the name of the Reference, e.g. Title of the document, legislation, or Act.
    2 URL If applicable, insert a link to the relevant internal document or web page:

    Web page:
    Open an internet browser window (e.g. Internet Explorer) and locate the relevant page. Copy the web address from the Address bar and paste it in the URL box
    (e.g. http://www.website.com).

    Document file:
    Open a Windows Explorer window, locate the file you want. Copy the file location from the Address bar and paste it in the URL box. Preface the URL with file:///
    (e.g. file:///H:\MyBusiness\Policies\OHSW-Policy.doc).
  7. For saved updates, the new Reference will now be displayed in the list and a confirmation message displayed at the bottom of the Page.

Add a Compliance Sub Reference

  1. Access the Compliance References page.

  2. Access the Compliance Sub References.

  3. In the Sub Reference Panel, click the icon.

    Note: Do not alter or delete the ‘All’ Sub Reference as shown in the example above. Every Reference must have at least one Sub Reference and the default ‘All’ is used for this purpose.

  4. Enter the Sub Reference 1.

  5. Enter the URL 2.

  6. Click the Save icon 3 add the new Sub Reference.

  7. Or, click the Cancel icon 4 to stop adding the new Sub Reference.

    ‘Add New Sub Reference’ fields
    ID Field Description
    1 Sub Reference Type the name of the Sub Reference, e.g. Title of the Part, Section or other unit/division of the main Reference.
    2 URL If applicable, insert a link to the internal document or web page:

    Web page:
    Open an internet browser window (e.g. Internet Explorer) and locate the relevant page. Copy the web address from the Address bar and paste it in the URL box
    (e.g. http://www.website.com).

    Document file:
    Open a Windows Explorer window, locate the file you want. Copy the file location from the Address bar and paste it in the URL box. Preface the URL with file:///
    (e.g. file:///H:\MyBusiness\Policies\OHSW-Policy.doc).
  8. For saved updates, the new Sub Reference will now be displayed in the list and a confirmation message displayed at the bottom of the Page.

Edit a Compliance Reference

  1. Access the Compliance References page.

  2. Click the icon next to the Reference that you want to edit.

  3. Edit the Reference 1 as required.

  4. Edit the URL 2 as required.

  5. Click the Save icon 3 to update the Reference.

  6. Or, click the Cancel icon 4 to stop adding the new Reference.

  7. For saved updates, changes are displayed in the list and a confirmation message displayed at the bottom of the Page.

Edit a Compliance Sub Reference

  1. Access the Compliance References page.

  2. Access the Compliance Sub References.

  3. Click the icon next to the Sub Reference that you want to edit.

  4. Edit the Sub Reference 1 as required.

  5. Edit the URL 2 as required.

  6. Click the Save icon 3 to update the Sub Reference.

  7. Or, click the Cancel icon 4 to stop adding the new Sub Reference.

  8. For saved updates, changes are displayed in the list and a confirmation message displayed at the bottom of the Page.

Delete a Compliance Reference

  1. Access the Compliance References page.

  2. Click the icon next to the Reference that you want to delete.

  3. A ‘Confirm Delete’ dialog is displayed.

  4. Click OK to delete the Reference, or click Cancel.

  5. If OK is click, the deleted Reference will no longer be displayed in the list and a confirmation message displayed at the bottom of the Page.

Delete a Compliance Sub Reference

  1. Access the Compliance References page.

  2. Access the Compliance Sub References.

  3. Click the icon next to the Sub Reference that you want to delete.

  4. A ‘Confirm Delete’ dialog is displayed.

  5. Click OK to delete the Sub Reference, or click Cancel.

  6. If OK is click, the deleted Sub Reference will no longer be displayed in the list and a confirmation message displayed at the bottom of the Page.

Load Compliance Data

Note: The Compliance Configuration as described in the above sections must be completed before a Load Compliance Data process can commence.

Access Load Compliance Data

  1. From the Main Menu, select Compliance | Load Compliance Data.

  2. The Load Compliance Data page is displayed.

Step 1 Loading Compliance Processes

  1. Click the Create a spreadsheet template for Compliance Processes button.

  2. A spreadsheet template will appear containing two tabs. This cannot be edited here, it must be downloaded first. Click the Save As button and store the spreadsheet in your local system. The first tab, the Compliance Process tab, contains every column that must be loaded with data. Take care when pasting values into your spreadsheet to use the “Paste Value” option. It is recommended to either, type all dates, or to carefully check that the format is correct on any pasted date data.

  3. The second tab, the Information tab, contains values from TriLine GRC. The values in Bold will match columns from the Compliance Process tab. Non bold values Next to the Bold value are valid values that must be used on the Compliance Process tab in the matching column. Also take special notice of the Notes on the right hand side columns.

  4. Click the Browse button and select the file you wish to load.

  5. Select all Security Group accesses required for the Compliance Processes in your load file. Note: If Process Controls are also going to be added in Step 2, select all Actioned By Security Group accesses at this time. Click the Load Compliance Process Data button.

  6. If there is no errors with the load data, a message like the following will appear. Click the review link to see the records. If there is a problem with any data, the errors will be display instead of this message, and no data will be load. Correct the reported problem(s) and then attempt to load the data file again. You may need to repeat this process until all errors are resolved.

Step 2 Loading Process Controls

  1. Click the Create a spreadsheet template for Process Controls button.

  2. A spreadsheet template will appear containing two tabs. This cannot be edited here, it must be downloaded first. Click the Save As button and store the spreadsheet in your local system. The first tab, the Process Controls tab, contains every column that must be loaded with data. Take care when pasting values into your spreadsheet to use the “Paste Value” option. It is recommended to either, type all dates, or to carefully check that the format is correct on any pasted date data.

  3. The second tab, the Information tab, contains values from TriLine GRC. The values in Bold will match columns from the Process Controls tab. Non bold values Next to the Bold value are valid values that must be used on the Process Controls tab in the matching column. Also take special notice of the Notes on the right hand side columns.

  4. Click the Browse button and select the file you wish to load.

  5. Click the Load Process Control Data button.

  6. If there is a problem with any data, the errors will be display like this example below. Correct the reported problem(s) and then attempt to load the data file again. You may need to repeat this process until all errors are resolved.

  7. If there is no errors with the load data, a message like the following will appear. Click the review link to see the records.

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