In order to meet your organisation’s legal and business requirements for the control and disclosure of information, you create and manage:
Compliance Processes to identify the Tasks (Process Controls) that must be performed to maintain Compliance, and
Process Controls and Process Control schedules for each Compliance Process.
See TriLine GRC and Compliance help section for more information.
If you have licensed the Obligation Module, Compliance Process and Process Controls can be created and maintained from LexisNexis Obligations and Sub Obligations.
The Compliance Process List Page
The Compliance Process List page is accessed from the main menu and displays all Compliance Process records your logged in Position has security access to view, less any filters you may have additional applied.
Making an Archive of the Compliance Process record.
Create a Template the current record.
The Compliance Process page
The Compliance Process page elements
The ‘Compliance Process’ page elements
ID
Element
Description
1
Current Record selector
Use this selector to change to another Compliance Process record.
2
Compliance Process tabs
Click on each tab to display each titled information
3
‘Save’ icon
Click this icon to save all updates to Details, Custom Fields and Security tab field changes.
4
‘New’ icon
Click this icon to open The ‘New Compliance Process’ window.
5
‘Print Preview’ icon
Click this icon to open a preview window of the printed layout page.
6
‘Delete’ icon
Click this icon to delete the Compliance Process record.
7
‘Archive’ icon
Click this icon to archive the Compliance Process record.
8
‘Create a Template’ icon
Click this icon to create a new Template of this Compliance Process record.
The Process Details tab
The Process Details tabs displays the main fields of the Compliance Process. The display of the Risk section is determined by a configuration setting.
The Process Details tab
The Process Details tab elements
The ‘Process Details’ tab elements
ID
Element
Description
1
‘Process Number’ field
Display the number that uniquely this Compliance Process record.
2
‘Record Status’ selector
Displays the status of this Compliance Process (see Record Status). If the status is Inactive, all the Process Controls are also effectively Inactive.
3
‘Title’ field
Displays the title of this Compliance Process record. It is highly recommend this field is configured on. This field is mandatory to be displayed when the Obligations module is installed.
4
(Business Unit) selector
Displays the Business Unit of this Compliance Process record.
5
‘Version’ field
Displays the Version of this Compliance Process record. This field is left to user discretion on its format and requirement to be changed.
6
‘Last Changed’ information
Displays the most recent date this Compliance Process record was updated.
7
‘Category’ selector
Displays the Category of this Compliance Process record.
8
‘Description’ field
Displays the description of this Compliance Process record.
9
‘Responsible Officer’ field
Displays the Position which is Responsible or Owns this Compliance Process record.
Note: : This Position will be notified of Completed Process Control tasks with a negative Outcome of Fail or No.
10
‘Tags’ field
Displays the tags connected to this Compliance Process record.
11
‘Show records linked by Tags’ icon
Click this icon to display all other records linked to these tags (limited by your security access).
12
‘Risk’ section
The Risk section can be configured to display. It provides the fields to describe and rate the risk of this Compliance Process record.
13
‘Risk Rating’ fields
These include the Likelihood and Consequences. All Risk ratings are configured in the Risk module.
14
‘Show Risk Matrix’ icon
Click this icon to display the Risk Matrix and where this Compliance Process rating is in this matrix.
The References tab
The References tabs displays the References link to this Compliance Process record. The available References to select are added by your TriLine GRC Administrator. If the Reference you require is not listed, please see you Administrator to get it added.
Use the controls in the column headers to filter the Records. Perform advanced filtering of the List to find particular Records.
3
Reference List
Displays the List of all References that have been linked to this Compliance Process record.
4
‘Reference’ selector
Select a Reference to link to this Compliance Process record.
5
‘Reference’ selector
Select a Sub Reference of the Reference 4 to link to this Compliance Process record.
6
‘Link reference’ icon
Click this icon to Link the Reference 4 and Sub Reference 5 to this Compliance Process record. The linked Reference displays in the Reference List 3.
7
‘Delete Link’ icon
Click this icon to delete Link of the Reference to this Compliance Process record. The linked Reference will no longer displays in the Reference List 3.
8
‘Reset grid’ icon
Click this icon to reset the columns in the grid to a default state.
The Process Controls tab
The Process Controls tabs displays the list of task that have been created for this Compliance Process record.
Use the controls in the Column Headers to filter the Tasks in the list.
4
Process Controls list
All Process Control tasks created for this Compliance Process record are listed here. Click on a Task to view its details in the ‘Edit Task’ window.
5
‘Transfer this Process Control’ icon
Each Task has a ‘Transfer’ icon. Click this icon to move the Task to another Compliance Process record and remove it from this Compliance Process record.
6
‘Copy’ task icon
Each Task has a ‘Create a copy of this Process Control’ icon. Click this icon to create a copy of the Task in this Compliance Process. The ‘Copy Task’ window is displayed. (This window is the same as the ‘New Task’ window, and is pre-filled with information from the Task being copied.)
7
‘Tasks Completion History’ icon
Click this icon to see the Completion History of this Task. The ‘Tasks History’ window is displayed.
8
‘Delete’ task' icon
Each Task in the list has a ‘Delete task’ icon. Click the icon to remove the Task. A ‘Confirm Delete’ dialog is displayed. Once you confirm the removal, the Task is no longer displayed in the Tasks list 4.
9
Has Source Obligation indicator
This indicates if this Process Control has a Source Obligation (or a Source Sub Obligation). Note: this column will only appear if the Obligation module is installed.
10
Source Obligation Update indicator
When this cell is shaded it indicates the Source Obligation has been updated and that this update is waiting to be applied to this Process Control. Note: this column will only appear if the Obligation module is installed.
11
‘Hide/Show Column’ icon
Click this icon to hide or display list columns using the Field Chooser. Use this for additional filtering and to add or remove columns from the Process Control list.
12
‘Add Task’ icon
Click this icon to add a new Process Control task. The ‘New Task’ window is displayed.
Click this icon to filter the Task List using the Filter builder.
14
‘Reset grid’ icon
Click this icon to reset the columns in the grid to a default state.
The Notes tab
The Notes tab displays a list of Notes that have been added to this Compliance Process record. This tab can be used to add any relevant information relating to the Compliance Process record as required. Positions with View or Edit access are permitted to add 6 Notes. Positions with Edit access can also update 4 or delete 5 the Notes.
Use the controls in the Column Headers to filter the Notes in the list.
3
Notes list
Each Note in the list consists of two parts: the top part is the Note itself, and the bottom part (shaded) displays the Name of the person who created the Note plus a date of when the Note was created.
4
‘Edit Note’ icon
Click this icon to Edit a Note. The ‘Edit Note’ window is displayed. Note: This icon only displays if you have ‘Edit’ security access.
5
‘Delete Note’ icon
Click this icon to Delete a Note. A ‘Confirm Delete’ dialog is displayed to remind you that deleting this Record will result in loss of data. Note: This icon only displays if you have ‘Edit’ security access.
Use the controls in the Column Headers to filter the Records in the Archive List (item 4).
4
Archive List
Displays the Archives taken of the current Compliance Process record. Click an Archive in the list to open and view the Archive details. Note: Archive Records cannot edited.
The Links tab
The Links tabs displays the entity records that are linked to this Compliance Process. Tabs displayed here will depend on which modules are installed on your site.
Each Link tab (excluding Events, Registers and Obligations) allows new Links to be added, and existing links to be removed.
The Links tab
The Links tab elements
The ‘Links’ tab elements
ID
Element
Description
1
Linked Record tabs
Click the appropriate tab to view, and if you have Edit access security, create and remove links for that Record Type. The available tabs are dependent on the modules installed on your site.
2
Record Selector field
Each of the Linked Record tabs 1 has a Record Selector field. Click the Record Selector dropdown to view a list of available records that you can link to this Compliance Process record. Select the record you wish to link then click the Add Link icon 3. Note: The drop-down list only displays available Records to which you have security access.
3
‘Add Link’ icon
Once you have selected a Record 2, click the ‘Add Link’ icon to create a link from that record to the Compliance Process record. The linked Record is displayed in the Linked Record List 6.
Use the controls in the Column Headers to filter the Records in the Links List (item 7).
7
Linked Record List
This list displays all linked Records of the currently selected Module 1. Click a Record in this list to open the Record in its own page for viewing or editing depending on your Security access.
8
‘Remove Link’ icon
Each Record in the list has its own ‘Remove Link’ icon that will display for Edit access security. Click this icon to remove the link to the Record. A Confirm Delete dialog is displayed. Once you confirm the link’s removal, the Record is no longer displayed in the Linked Record List 7. Note: The Compliance Process record link will also be removed from the Links tab of the corresponding record.
The Custom Fields tab
Note: Custom Fields will vary depending on the Compliance Process Custom Field settings. If there are no Custom Fields, this tab will not appear. The fields displayed here will be different for your site.
The Custom Fields tab display all custom fields configure for Compliance Processes. These fields appear for all Compliance Processes.
The Custom tab
The Custom tab elements
The ‘Custom’ tab elements
ID
Element
Description
1
An entry field
One or more different type custom data collection fields maybe displayed.
2
This field ‘Information’ icon
Hover over this icon to display information about the field it is next to.
The Security tab
The Security tabs displays the Security access to this Compliance Process record. The Security tab is used to update the security access of each Security Group to this Compliance Process record. Edit access means Positions in this Security Group can update all values in this Compliance Process record. View access means Positions in this Security Group can see, but not update, all values in this Compliance Process record. Not Used access means Positions in this Security Group cannot see this Compliance Process record.
Select a Record Security Rights level for the Security Group. Note: The Security Group containing the Compliance Owner must be given ‘Edit’ Rights to the Compliance Record.
4
Security Group Membership icon
Click this icon to display the related Security Group Membership List (see item 5 below).
5
Security Group Membership List
This list is displayed when you click the Security Group Membership icon (see item 4 above) for a Security Group. This function is useful if you need to confirm which Security Group a Position is a member of before assigning Record Security Rights to that group.
6
‘Security Access Summary’ icon
Click this icon to display all Positions that have access to this record, the type of access, and from which Security Group this access was granted from (including Task Teams).
Notes:
Positions in the ‘Administrators’ and ‘Compliance Administrators’ Security Group are automatically assigned ‘Edit’ Rights.
Positions in the ‘Super Users’ Security group are automatically assigned ‘View’ Rights.
If a user is a member of multiple Security Groups with conflicting Security Rights, the higher level of access is granted.
The ‘History’ tab
View this Compliance Process record’s updates, Process Control updates, and task completion updates within the Configured (Item 5) Audit days period.
The Source Obligation tab
Note: This tab only displays if the Obligation module is installed on your site.
The Source Obligation tabs displays, or allows you to add, the Source Obligation to this Compliance Process.
Note: Without the correct functional or Record rights security, this menu option will not appear. To view Compliance Process records, a Position must be a member of a Security Group that has at least View Access to a Compliance Process record. The only Compliance Process records that will display are the records this Position’s Security Group’s has access to at least View.
View the list of Compliance Processes via the Main Menu:
From the Main Menu, select Compliance | Work with Compliance records.
Either click the New Process 1 icon from this page, or click a Compliance Process record, and then from the Compliance Process page, click the New Process 2.
Note: If you paste content into Title, Description or Risk, please review Paste From Word
Click the Save 14 icon to complete adding the new Compliance Process record. The Compliance Process page will display with this new record and you can continue editing this record. Clicking the cancel 15 icon will close the ‘New Compliance Process’ window without saving the record.
‘New Compliance Process’ window elements
‘New Compliance Process’ window elements
ID
Element
Description
1
‘Select Template’ selector
Click this field and select a Compliance Process Template from the drop-down list. The default fields will be populated with values from this Template.
2
‘Clear Template selection’ icon
Click this icon to reset the values for all fields in this window.
3
‘Process Number’ field
Type a number that uniquely identifies this Compliance Process record.
4
‘Record Status’ selector
Select whether the status is Active or Inactive (see Record Status).
5
‘Title’ field
Type the title of this Compliance Process record. It is highly recommend this field is configured on. This field is mandatory to be displayed when the Obligations module is installed.
6
(Business Unit) selector
Select the Business Unit of this Compliance Process record.
Select the Position that is responsible for the Compliance Process record. This position should have membership to a Security Group, or System Group with Edit access to this record.
9
‘Tags’ field
Select the tag(s) connected to this Compliance Process record.
10
‘Description’ field
Type the description of this Compliance Process record.
11
‘Risk’ section
Describe the risk should the Compliance requirement not be met. The Risk section can be configured to display.
If shown, click this icon for information on creating a Compliance Process record.
14
‘Save’ icon
Click this icon to save this new Compliance Process record. The ‘New Compliance Process’ window will close and the Compliance Process record will display with a successfully created message.
15
‘Cancel’ icon
Click this icon to cancel creating this new Compliance Process record and close the ‘New Compliance Process’ window.
Note: The field names shown in red are configurable and may be different on your system.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click each tab to view the details on that tab.
Note: If you paste content into Title, Description or Risk, please review the Paste From Word feature.
If the Save icon is display (after hovering over the Options Hamburger icon), you have security access to update the values on this Compliance Process record. The Save icon applies to Details, Custom Fields and Security tabs. Update values as required and then reveal and click the Save icon.
Delete a Compliance Process
Deleting a Compliance Process is NOT recommended if you wish to retain the history of the Compliance and its Controls. Instead consider changing the Compliance Process Status to Inactive.
Note: Only Positions allocated to a Security Group that has been assigned ‘Edit’ Record Security Rights can delete a Compliance Record.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Hover over the Options Hamburger icon and then click the Delete icon 1.
The ‘Delete’ icon
A ‘Confirm Delete’ dialog is displayed. Click Yes to delete the Compliance Process, or click No to cancel.
The ‘Confirm Delete’ dialog
Note: Deleting a Compliance Process record also deletes its Archives and History records. This may have auditing implications. Consider instead changing the Status to Inactive (see Change the Status of a Record).
Undelete a Compliance Process
The Compliance Process record is not deleted immediately, but rather it’s status is changed to ‘To Be Deleted’ for a limited time determined by your configuration settings. Hence the record can still be view and the record can also be recovered from this to be deleted status.
The Record will be really deleted on its scheduled date by the overnight Monitor and cannot be recovered/undeleted after this time.
The number of days delay, until the deletion of a record is permanent, is configured by the Administrator on the General Configuration tab. For example, this setting is 31 days:
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Hover over the Options Hamburger icon and then click the Print 1 icon.
A Preview Page opens showing a Report for the Compliance Process. Navigate, search, print and/or save the Report using the Preview Page Toolbar. Click the Close icon 1 to close this window.
Manage References
References provides the facility to link your Compliance Process record to information external to TriLine GRC; e.g. legislative Acts, professional standards, or business policy and processes.
The list of References and Sub References are loaded by the Administrator. If you require a reference that is not listed, please request your Administrator to load that Reference for you. (Administrators see Add a Compliance Reference for more information.)
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the ‘References’ tab.
In the ‘Reference’ field, select a Reference 1 from the drop-down list. In the ‘Sub Reference’ field, select a Sub Reference 2 from the drop-down list. (Sub References are specific sections of a Reference, e.g. ‘Part 3’, ‘Section 2’, and so on.) Click the Link Reference icon 3 to link this Reference to this Compliance Process.
This Reference is displayed in the Reference list 1 for this Compliance Process.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the ‘References’ tab. Click the Delete Link1 icon.
A ‘Confirm Delete’ dialog is displayed. Click OK to delete the Link. The Reference is longer displayed in the References List.
Note: The Reference is no longer linked to the current Compliance Process Record, but remains within the system for use with other Compliance Processes.
Manage Notes
The Notes tab displays a list of Notes that have been added to this Compliance Process record. This tab can be used to add any relevant information relating to the Compliance Process record as required. Positions with View or Edit access are permitted to add Notes. Positions with Edit access can also update or delete the Notes.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Notes tab. Click the Edit Note icon 1 on the Note to be updated.
The ‘Notes’ tab Edit icon
Update the Note text in the edit area 1. Click the Save icon 2 to save these changes.
The ‘Edit Note’ icon
Note: If you paste any content here, please review Paste From Word
Or, click the Cancel icon 3 to stop updating the Note.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Notes tab. Click the Delete Note icon 1 on the Note to be deleted.
The ‘Note’ tab Delete icon
The ‘Confirm’ window appears. Click OK to delete, or click Cancel.
Archive Compliance Process records
Before making any editing changes to your Compliance Process, you may wish to archive the Compliance Process for historical purposes. Each Archive record in the list is a snap shot the Compliance Process on that date. The Archive record cannot be edited. The Archives tab contains a list of dates when the Compliance Process has been archived.
Once you create a Record Archive, the Archive remains with the Record for as long as the Record exists. This makes routine archiving a good option for audit purposes.
If you delete a Compliance Process or Risk Record, any archives for those Records are also deleted. Consider making the Record Inactive rather than deleting the Record. This way, you can stop the Record displaying in lists (by default, inactive Records are not displayed in lists), but still retain the Record and its Archive history for future reference.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Archives tab. Click on an Archive record in the Archive list 1.
The ‘Archives’ tab
View details about the Archived Compliance record by clicking on the relevant tabs 1. Hover over the Export icon 2 and click an export file format. Open or Save this file as required.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Hover over the Options Hamburger icon and then click the Archive 1 icon.
The ‘Archive’ icon
Enter a reason or comment in the edit area 1. Click the Save icon 2 to Archive this Compliance Process. Click the Cancel icon 3 to Close this window.
Hover over the Options Hamburger icon and then click the Archive multiple record 1 icon.
The ‘Archived Compliance record’ window
Enter a Reason or comment in the edit area 1. Either select all records 2, or select individual records 3 to Archive. Then click the Save icon 4 to Archive these records.
Compliance Process records can be linked to other relevant records from other Modules in the TriLine GRC system. For instants, where a Compliance Processes is created to mitigate a Risk, consider linking the Compliance Process and the Risk together. Linking a Risk to a Compliance Process is a two-way process—a Compliance Process linked to a Risk will also be displayed on the Risk Record’s ‘Linked Compliance’ tab.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Links tab. Click on the required module tab 1. Type ahead in, or click, the record selector 2 to display the list of records (your security access allows). Click the record 3 to link.
The ‘Link’ tab
The selected record number displays in the linking field. Click the Link icon 1.
The ‘Link’ selected
Note: The Links Events and Registers tabs will only appear if a records have been linked to this Compliance record from a record in those modules. The linking is one way in this sense, but will appear on both record’s Link tabs.
The linked record 1 displays in the Linked list.
The ‘Link’ list
Delete a Link
Note: If you have edit access and the Delete icon does not display, click the record to Delete the link from the other module.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Links tab. Click on the required module tab 1. Click the Delete Link icon of the record to be de-linked 2.
The ‘Custom Fields’ tab is only displayed if Custom Fields have been configured by the Administrator. Custom Fields are your organisations required extra Compliance Process information extended from the Process Details tab.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Custom Fields tab. Update the Custom fields that appear as required 1.
Hover over the Options Hamburger icon and then click the Save 2 icon to save the updates.
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Security tab. Update the Security Group accesses as required 1.
The ‘Security’ tab
Hover over the Options Hamburger icon and then click the Save 2 icon to save the updates.
Notes:
Positions in the ‘Administrators’ and ‘Adminstrators - Compliance’ System Group are automatically assigned ‘Edit’ Rights.
Positions in the ‘Super Users’ Security group are automatically assigned ‘View’ Rights.
If a user is a member of multiple Security Groups with conflicting Security Rights, the higher level of access is granted.
Manage Source Obligation
This functionality is only available when the Obligation module is installed on your site. For more information see:
When you have a series of Compliance Process that are of a similar structure and have similar Process Controls, TriLine GRC provides the facility to template those Compliance Processes. A template can be build from scratch, or it can be created from a existing Compliance Process. The template can then be used to create new Compliance Processes (see Item 1Add a Compliance Process).
Click on a Compliance Process record in the list to open the The ‘Compliance Process’ page. Click the Create a Template icon 1.
A Create Template window appears. Click the Tick icon 1 to confirm you want to create the Compliance Process Template from this record. (Or, click the close icon 2 to cancel the create.)
If a template(s) exist with very similar wording to the template you are creating, then the following window is displayed listing the matching template(s). Click the Tick icon 1 again to confirm you want to continue the create new Template. (Or, click the close icon 2 to cancel the create.)
The New Template window displays. Complete the required details for fields 1 through 4. Click the Save 5 icon to save this Template. (Click the Cancel 6 to cancel the save and close this window.)
When the Save completes, the References and Process Controls tabs 1 display.
Click on the References tab. Link 1 the require Reference and Sub References to this Template.
Click on the Process Controls tab. Click the Add Process Control 1 icon.
The Add New Template Process Control window displays. Fill in the required fields. Click the Save 1 icon to save this Template Process Control. (Click the Cancel 2 to cancel the save and close this window.)
Click the Close window icon to close this window.
The new record displays in the Compliance Process Template list.
The Edit Template window displays. Update the required details for fields. Click the Save 1 icon to save this Template. (Click the Cancel 2 to cancel the save and close this window.)
icon is display (after hovering over the Options Hamburger icon), you have security access to update the values on this Compliance Process record. The Save icon applies to Details, Custom Fields and Security tabs. Update values as required and then reveal and click the Save icon.
Deleting a Compliance Process record also deletes its Archives and History records. This may have auditing implications. Consider instead changing the Status to Inactive (see 
