IAND's Compliance functionality makes sourcing compliant suppliers easier and faster, with improved understanding of risk where suppliers have expired compliance items.
Your IAND Super users have configured Compliance documents and Compliance levels to meet your BMS requirements. This means compliance workflows have been set up within the IAND platform to support the approval of suppliers against the relevant insurances/policies/accreditations (Documents) and according to the work the supplier undertakes (Levels).
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Reviewing a Compliance document
Compliance document index
Level A -C users can review and either approve or reject Compliance documents submitted by your suppliers. Once approved, suppliers will be notified when a document expires to prompt them to keep documentation up to date.
Note: Compliance documents and their status are visible to your supplier organisations.
You can view a list of all Compliance documents in one place: Compliance document index.
Navigate to the Compliance documents index by selecting 'Compliance docs' from the Companies drop-down in the navigation bar.
Here you can see all existing Compliance documents on your company's portfolio and you can also click 'My documents' to see any Compliance documents that you are assigned to review. You can also filter Compliance documents by:
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Reviewer This allows you to find Compliance documents linked to a specific reviewer.
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Company Supplier category This categorisation is set on a company level (see this guide for more information).
- Company Compliance level Filter Compliance documents by companies that have been assigned to a Compliance level. You can narrow down the filter further by selecting the state of the Compliance level (e.g. suppliers who are Compliance Level A approved).
- Document Status Filter Compliance documents by their approval status (e.g. 'Approved', 'Pending Approval', 'Pending Submission' or 'Rejected').
- Document Type Filter by type of Compliance document including your company's presets (e.g. Public Liability Insurance) or select 'Custom'.
- Document Archived Choose to show or hide archived Compliance documents.
TIP! You can also find links to your Companies index and Compliance report near the top of the Compliance documents index page.
Reviewing a Compliance document
There are 3 ways in which you can access a Compliance document details page in order to review it:
1) Directly from the Compliance document index by clicking on the document in the list.
2) Via a supplier's Company Profile page by navigating to the Governance section, expanding the Compliance documents module and clicking 'Review'.
3) If you are a named reviewer for a Compliance Preset, or you requested the document, you will be notified via an email that a document is ready for review. Clicking the link in the email will take you directly to the details page.
Once you are on the details page for a Compliance document, you can review the supplier's submission, checking inputted fields on amounts as well as start and expiry dates against any documents submitted. You are able to either 'Approve' if the supplier has met your requirements, or 'Reject' and leave comments and/or instructions as to what the supplier should do next. The status will update on the supplier's Company Profile page.
Note: Suppliers can mark a request as N/A. You can either approve or reject depending on whether you agree that the document is N/A and this will be visible on the Company Profile page.
TIP! If the document has expired before you've had a chance to review but all information is correct, click approve and the supplier will be notified to upload their new policy/certificate immediately.
Archiving a Compliance document
If the Compliance document request has an error or needs to be re-submitted by the supplier for any reason, you can also click 'Archive' in the top right. This archives the Compliance document request allowing you to re-request it from the supplier.
Reassigning the Compliance document reviewer
If you do not have the authority or the capacity to review a document, you can reassign the reviewer from the details page by clicking 'Reassign reviewer' in the top right. This will take you to a dropdown list of all of the Level A - C users on your portfolio. Choose a colleague and then click 'Reassign' and your colleague will be notified to take action.
Reviewing a Compliance level
Level A - C users can review and either approve or reject Compliance levels. Compliance levels can be approved from a supplier's Company Profile page or though a link emailed to named Compliance level Managers or Reviewers. Compliance levels and their status are not visible to your supplier organisations.
On a supplier's Company Profile page, navigate to the Governance section. Expand the Compliance status module and click 'Review'. Read the instructions on the details page, click on the relevant review and either 'approve' or 'reject', adding comments as appropriate.
Note: On this page, you can also see the history of approvals and any comments made by you or your colleagues, giving a full audit trail.
For more information on managing Compliance levels, see this guide.
Reassigning the Compliance level reviewer
If you do not have the authority or the capacity to review a Compliance level, you can reassign the reviewer from the details page by clicking 'Review' next to the relevant Compliance level and clicking 'Reassign' next to the Reviewer's name. This will take you to a dropdown list of all of the Level A - C users on your portfolio. Choose a colleague and then click 'Update' and your colleague, as well as the Manager of the Compliance level, will be notified to take action.
TIP! If you are a Level A or B user, you can see a Compliance report for a detailed compliance status report across all of your suppliers. See this guide for more information.
