COMPLIANCE MANAGEMENT SOLUTION USER MANUAL. Version 2.4

Transcription

1 COMPLIANCE MANAGEMENT SOLUTION USER MANUAL Version P age

2 TABLE OF CONTENTS SN TITLE PAGE NO 1.0 INTRODUCTION GETTING STARTED SECTION A : PERFORMER/ASSOCIATE DASHBOARD TASKS 9 TASK SUMMARY 9 ONGOING TASK 16 CONDITIONAL TASK 18 PERIODIC TASK 19 COMPLETED TASK 19 NON COMPLIANT TASK 20 COMPLIANCE CALENDAR UTILITY 22 SHOW CAUSE NOTICE 22 REFERENCE DOCUMENTS LIBRARY 25 SEARCH DOCUMENT CHANGE PASSWORD LOGOUT SECTION B : REVIEWER REVIEWER DASHBOARD ADDITIONAL FUNCTIONALITY OF THE REVIEWER 30 CHANGE PERFORMER 30 CHANGE PERFORMER LOG/HISTORY 31 ACTIVATING THE CONDITIONAL PERIODICAL 32 ACTIVATING THE ONGOING TASKS SECTION C : DEPARTMENTAL/FUNCTIONAL HEAD DEPARTMENT/FUNCTION HEAD DASHBOARD ADDITIONAL FUNCTIONALITY OF THE DEPARTMENT/FUNCTION HEAD 37 DEPARTMENT/FUNCTION HEAD METRICS REPORTS SECTION D UNIT HEAD/COMPLIANCE HEAD/CXO UNIT HEAD/COMPLIANCE HEAD/CXO DASHBOARD ADDITIONAL FUNCTIONALITY OF THE UNIT HEAD/CMPLIANCE HEAD/CXO 45 2 P age

3 6.3 ADMINISTRATION USERS 46 DERAPRTMENT/FUNCTION 49 UNIT 50 ENTITY 53 HOLIDAYS 55 DEVICES 56 SEARCH KEYWORD COMMON REPORTS METRICS 60 COMPLIANCE CERTIFICATE 62 PERFORMANCE REPORT 64 LEGISLATIONWISE REPORT 65 TASK WISE COMPLIANCE STATUS TASK ADMINISTRATION INTERNAL COMPLIANCES 67 LEGAL UPDATE 68 3 P age

4 INTRODUCTION Legatrix, an IT- enabled legal support service interface is designed to provide a one stop solution to manage organization compliances. The solution is designed keeping in view the real life scenario. The compliance management involves defining, executing compliance tasks based on the defined calendar. The solution provides robust escalation mechanism which gives the organization an opportunity to complete the tasks within given schedule. The Legatrix facilitates compliance management using various roles. Following are illustrative rolls a. Performer or Associate is the actual performer who performs each compliance task. b. Reviewer is a person who keeps an eye on the performer s performance, reviews it and report to the department / function head. c. Head of Department / Function is envisaged to carry rights to oversee the task, departmental report and compliant status of his department. d. Unit Head is having rights to view single or multiple units, departments in graphical gauge or detailed task-wise report. e. Chief Compliance Head is the higher management category having rights to view single or multiple units, departments in graphical gauge or detailed task-wise report Legatrix provides an interactive dashboard customized for every level of user to assess his respective compliant status, with every task wise risk matrix allocation. The interactive dashboard of Chief Compliance Head provides a graphical overview of Compliance Management Status of the entire organization, with multiple units located at varied parts of the globe in a bird s eye-view through a unique dynamic compliance gauge, unit wise status of compliance, departmentwise status of compliance, risk matrix of compliances and law wise status of compliances. A detailed assessment report matrix of the organization contains task wise segregated information of status of compliance, non-compliance or posing risk of non compliance of inter unit and inter department in multifarious parameters of risks and law categories. Legatrix is enriched with interactive features with rich law content on categories of Assets, Corporate, Human Resource, Commercial, Environment-Health and Safety, Local, Regulatory, Taxation and Miscellaneous. 4 P age

5 GETTING STARTED Enter the URL for legatrix. Following web page will appear. Through this page users will be able to log in into legatrix. Various roles and privileges will be as part of the implementation. The organization will provide the users with a user name and default password. One can do log in into the system using the designated User ID and Password. When the user logs in FIRST TIME, it is recommended that he/she changes the password. 5 P age

6 SECTION A: PERFORMER/ASSOCIATE 6 P age

7 When the Performer/Associate enters the user id and password the system will validate it. Upon successful validation, following webpage will be displayed. This is the Dash Board for the specific user. The page contains the following legatrix features for the Performer/Associate to map his/her status of tasks delegated /assigned to him/her by his/her department/unit head. 1. Dashboard 2. Tasks 3. Utility 4. Change password 5. Logout. 7 P age

8 1. DASHBOARD: The dash board opens up on logging in. It contains the following features. These features enable the users with: a. Key statistics b. Status of tasks c. Graphical Representation a. Key statistics. Comprises of (i) No. of task, (ii) Tasks Not complied (iii) Tasks Posing Risk of Non Compliance and (iii) Tasks Complied. i. No. of task - Total number of tasks assigned to the specific Performer / Associate. ii. Not complied- It reflects the number of tasks that has not been performed by Performer/Associate and the statutory due date has been missed. iii. Posing Risk of Non Compliance It reflects the number of tasks that has not been performed by the Performer / Associate but still within statutory due date. iv. Complied- It reflects the total number of tasks that has been completed by Performer/Associate. b. Status of tasks: It shows the status of tasks assigned to Performer/Associate. i.e. whether it is pending or completed. c. Graphical representation: It is a graphical indication showing the status of the tasks as to number of tasks performed, not performed and tasks posing risks for non compliance. 8 Page

9 2. TASKS This has the following options. a. Task Summary b. Ongoing Task c. Periodic Task d. Conditional Task e. Upcoming Task f. Completed Task g. Non Compliant Task Let us look at each of these heads one by one. 9 P age

10 a. TASK SUMMARY Click on the first sub-head of Tasks, i.e., Task Summary. The following web page opens up An enterprise has multifarious units scattered all over the globe. It can be seen in the following web page - 10 P age

11 (i) TASK SELECTION CRITERIA: Following are some of the key details that can be used to filter appropriate tasks. 1. Entity: Select an entity (it can be a subsidiary company also) for which the tasks are to be selected as per following web page. 2. Unit: There may be multiple units under the entity such as Pune, Mumbai etc. Select the appropriate unit as per following web page. 3. Function: Select appropriate function such as Secretarial, HR, Finance etc, if the drop down has more than one function. 4. Category: Select appropriate law category such as HR, Secretarial, Asset, EHS, Taxation, Import / Export if the drop down box has more than one category. 5. Risk: Choose appropriate risk from the following based on the categories defined by the organization. The Risk is categorized as Critical, High, Low, Medium and Trifling. But, the organizations have the facility to customize it as per their definition. 6. Frequency: Select the frequency of the task from the following Ongoing, Conditional, Weekly, Monthly, Quarterly, Half Yearly, Yearly, 2 Yearly, 3 Yearly, 5 Yearly 10 Yearly, Preliminary 11 P age

12 (ii)task SEARCH: This feature helps in quickly retrieving the tasks which contains the phrase mentioned in the Task Search Box. For example, in the screen below, in Search Keyword word return is put and in Search word Annual return is put which provides tasks related to annual return. This help user substantially reduce the search time for appropriate tasks. The search criteria search the given string of characters in tie Title, Task and Task Applicability columns. Please refer to the Task Applicability column on the next page for more information. To view task details, click on Title from dashboard. 12 P age

13 The above web page gives a complete detail of the task. It provides the task required to be performed under the head, Task. This task is triggered or applicable to Corporate Office Unit only, as given in Task Applicability. The complete Details of task contains details of Frequency as to Ongoing or Conditional nature of task. Risk matrix associated with the task, with penalty in case of default Name of the Unit Name of the performer of the task and its department head Name of the Function and Function Head Category of law, with its State name Name of legislation with its section/ rule number Regulating or Reporting Authority for compliance of the tasks Consequences in case of failure to comply the particular task Help text containing additional important information regarding the task. Filing Form is the Form required to file to complete the task, if any. Online filing option is if online filing is permitted. 13 P age

14 (iii)task COMPLETION: The For Date column may contain different dates for the same task in case of daily or weekly tasks which may not have been completed earlier. The user needs to select the appropriate date of the task if multiple dates appear in the text box. Users will enter actual completion date and comments for the task that is being completed. (iv) SUPPORTING DOCUMENTS: Choose the Supporting Documents tab to submit the documents used for completion of the compliance of a task. The proof of completion of the task should be uploaded in Supporting Documents tab. 14 P age

15 How to upload new document - Select the New Documents button to load the documents in the repository. B C D A E F G A. Click the Browse button. B. The Choose file screen will appear. It will navigate to the appropriate drive and folder and select appropriate file. C. Click the Open Button to select the file. D. The path of the file will appear here. E. Enter relevant comments in the textbox. One can also select multiple documents for upload by using blank row as shown on the screen. F. After uploading the proof document is completed, Click Upload button to upload the documents in the system. The system will store the selected documents in the database. You have ability to refer to these documents. Please note that the uploading of documents step is needed to be performed BEFORE you mark the task as complete. This is very important. G. Select the cancel button if you do not want to proceed with the operation. 15 P age

16 (v). HISTORY: This option is typically used in case of Conditional Tasks where it would help to know how many times this task has happened The page gives the details of number of time; the task had been activated, with its status and completion date specified therein. ONGOING TASKS Ongoing Tasks are those tasks which needs to be performed and maintain on daily basis but it would be impractical to perform the tasks on daily basis therefore for the convenience of the user we assign these task on monthly basis. 16 P age

17 Process: Menu: Tasks Ongoing Task Select the task status Not Activated Click on Select All link button to select the task Click on Activate Selected Task As you click on the Activate Selected Task button message Selected Task Activated Successfully shall be displayed on the screen. 17 P age

18 CONDITIONAL TASK: Use the select criteria to select appropriate tasks. 1) Entity: - Select an entity (it can be a subsidiary company also) for which the tasks are to be selected. 2) Unit: - There may be multiple units under the entity such as Pune, Mumbai, and Corporate Office etc. Select the appropriate Unit. 3) Category: - Select appropriate law category such as HR, Secretarial, Asset, EHS, Taxation, import / Export etc if the dropdown box has more than one category. 4) Function: - Select appropriate function such as HR, IR, Secretarial, Finance etc. as appropriate if the dropdown box has more than one department. 5) Frequency: Select the appropriate frequency of tasks to be performed such as Ongoing, Conditional, Weekly, Monthly etc. Here it is chosen as Conditional. 6) Reviewer: Appropriate tasks of a particular reviewer can be chosen. 7) Risk: - Choose appropriate risk from the following based on the categories defined by the organization. The overall subset is Critical, High, Low, Medium and trifling but organizations have the facility to customize it to their definition. 8) Tasks: - The user can select either All Assigned or All Activated as there is a facility to work only with activated tasks. To complete the compliance of the task, the same procedure, as mentioned above under Clause a. (iii) Task Completion, is to be followed. Similarly, one can view the sub-head of Ongoing Task, Periodic Task. 18 P age

19 PERIODIC TASK: COMPLETED TASKS User may want to view the tasks completed during a specific period. Select Completed Tasks option from the dashboard. Following screen will appear. The tasks which meet the filter criteria will be displayed as described above. The completion details can be viewed by selecting a specific task as described above. The entire details of the task will be displayed. 19 P age

20 NON COMPLIANT TASKS: For all the tasks which become Non Compliant as they are not completed on or before the actual date of completion, they remain non-compliant and cannot be made compliant again during the same year. Legatrix provides a facility to generate a certificate for the given period. Generally, certificates are generated quarterly, Six monthly or Yearly basis. It is expected that organizations will provide reasons for non-compliance and action taken for the non compliant tasks. This will become part of the details that will appear in the certificate. Click on Non-Compliant Tasks to provide reason and action taken. Following screen will appear. A. Select from date for the period for which the tasks are to be selected. B. Select To date of the period. C. Provide the filter criteria as discussed above in the document. 20 P age

21 COMPLIANCE CALENDAR: This feature is an enhancement in Upcoming Task & will replace Upcoming Task (v 2.2). To open the compliance calendar go to Tasks menu and click on Compliance Calendar. You will get the below screen (Compliance Calendar). Default period will be Next 3 Months [Can be One particular month, next 3/6 months by changing Compliance Calendar dropdown. Will display Total No. of Tasks and their description as Tool Tip Text when we move mouse on a blue colored cell of calendar. Will highlight [Blue Color] the particular day if any upcoming task is there on a same day. To get the list of the tasks for a particular day click on the same day. This feature is available for All Roles and based on his/her Role, It will display his/her task. 21 P age

22 UTILITY SHOW CAUSE NOTICE If any Show Cause Notice is received from any Government Authority, the same can be uploaded on Legatrix in the option called Show Cause Notice. Click on the tab Utility, following web page will appear Click on Show Cause Notice, following web page will appear to upload the Show Cause Notice 22 P age

23 Click on the option New SCN/Order/Direction, following web page will open Now, to upload Show Cause Notice, follow following procedure A. Select the appropriate unit with the drop down provided, in whose name Show Cause Notice is received. B. Select the appropriate function with the drop down provided, under which the Show Cause Notice is received. C. In front of the column Received From (Statutory Authorities), mention name of the Statutory Authority from whom the Show Cause Notice is received. D. In front of the column Received Dt, mention the date on which the Show Cause Notice is received. E. In front of the column Notice Reply Deadline, mention the deadline, within which reply to the Show Cause Notice received, is to be sent. F. In front of the column Comments / Action taken, provide comments on the Show Cause Notice received and / or the action taken. G. To upload the Show Cause Notice, click on browse 23 P age

24 H. Click the Open Button to select the file. I. The path of the file will appear here. J. Enter relevant comments in the textbox. One can also select multiple documents for upload by using blank row as shown on the screen. K. After uploading the proof document is completed, Click Upload button to upload the documents in the system. The system will store the selected documents in the database. You have ability to refer to these documents. Please note that the uploading of documents step is needed to be performed BEFORE you mark the task as complete. This is very important. Upon successfully uploading of the document, the web page will open as below 24 P age

25 REFERENCE DOCUMENTS - LIBRARY The organization may want to store some principles or policy documents which are relevant for compliance activities as a ready reference. The users may sometime need to refer to these documents. Legatrix provides the facility to access these documents online. A. Select the Utility menu as shown in the screen above. Select the Reference Documents from the tab Utility. Following screen will appear. Click on the appropriate link under Title to access the document. 25 P age

26 SEARCH DOCUMENT: a. Menu: Utility Search Document b. Search can be done by giving the Document Title/Task ID/ Unit Task ID /Uploaded period c. Search can be done by giving either the search string or an Uploaded period or a both d. User can open/save the file by clicking on the document title CHANGE PASSWORD It is recommended that after first log-in, user should change the password. In addition to the first login it is recommended that user should change the password intermittently to ensure security of access. A. Click on Change Password link for changing the password. The screen above will appear. B. Enter old password. C. Enter new password. D. Confirm new password by retyping it. E. Click Submit button to save the changes. The new password is changed. The user has to provide new password when he/she logs in for new session. F. Click Cancel button to discard the changes. 26 P age

27 LOGOUT: When the work is finished, it is recommended that user should formally logout rather than closing all the screens using the standard windows screen close button. A. Click on Logout link for exit from the session. 27 P age

28 SECTION B: REVIEWER Reviewer is a department superintendent who controls and reviews the work of the performer and reports to the Function / Department Head. When Reviewer logs into the system, upon successful validation of his log in ID and password, following Dashboard will appear. 28 P age

29 REVIEWER DASHBOARD: Being the Reviewer keeps an eye on the compliance status of the department. He gets to know category wise and unit wise no. of total tasks, no. of tasks not complied, no. of tasks posing risks of non compliance and no of tasks complied, with graphical representation. The Reviewer can view all the respective tasks allocated to performers under his control. Rest of the functions of the Reviewer is same as the Performer. For the details, please refer earlier section. Kindly refer back to Section A 29 P age

30 ADDITIONAL FUNCTIONALITY OF THE REVIEWER 1. CHANGE PERFORMER In Utility, option of Change Performer can be found, as shown in the below diagram. The Reviewer can change the performer. If any performer changes permanently or on temporary basis, the Reviewer can change the performer and assign the tasks of such performer to the changed performer. Upon selecting Change Performer following screen will appear. A. Select the appropriate unit and function from the available drop down from Current Performer. B. Select the performer, whom you want to change from the Current Performer. C. Select the tasks for which the performer is to be changed. These tasks can be filtered from Filter Task by selecting appropriate Category, Risk and Frequency. D. Select the appropriate function, from the New Performer, of which you want to add new performer. E. Select the new performer, whom you want to add from the New Performer. F. Click on the save changes to change the performer successfully and finally. In the event of changing the details made, click on Reset. 30 P age

31 2. CHANGE PERFORMER LOG/HISTORY: On the below page (Change Performer Log) we can see the current and previous history of the Performer/Reviewer/Function/Function Head. We can see the current and previous Performer/Reviewer/HOD assigned to the particular task. Detail and complete history of the Performer/Reviewer/HOD assigned to a particular task up till date can be viewed. 31 P age

32 3. ACTIVATING THE CONDITIONAL/PERIODICAL TASKS For activating any conditional or periodical task following process mentioned below should be followed: A. Go to title of the task that needs to be activated B. Task Information page shall be displayed on the screen C. Scrolling down there is a detail tab in which activation task option is given D. Reviewer needs to assign the date by which tasks needs to be completed. By doing this automatically due date shall be assigned to performer. E. Once the date is assigned, Reviewer needs to click on Activate button. 32 P age

33 4. ACTIVATING THE ONGOING TASKS Ongoing Tasks are those tasks which needs to be performed and maintain on daily basis but it would be impractical to perform the tasks on daily basis therefore for the convenience of the user we assign these task on monthly basis. Process: Go to Tasks menu Scroll down and click on the Ongoing Task submenu as shown below Select the task status Not Activated Click on Select All link button to select the task Click on Activate Selected Task As you click on the Activate Selected Task button message Selected Task Activated Successfully shall be displayed on the screen. 33 P age

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35 SECTION C: DEPARTMENT/FUNCTIONAL HEAD Legatrix is role based application. It offers different options for different levels. At department head level there are additional functions that need to be performed. Rest of the functions is same as described under Performer section. This section describes only the additional features. For other functionality, please refer to the earlier section. Upon successful validation of the user id and password the following screen appears. 35 P age

36 DEPARTMENT/FUNCTION HEAD DASHBOARD: When the user logs in, a dashboard will be displayed. There is a change from the dashboard of the performer. There is a new risk type Posing Risk of Non-Compliance designed at making the department head aware of the fact that the task by a performer is not completed within the stipulated time. The department head still has time at his/her disposal to ensure that the task is complied within actual due date. Such task is assigned a risk type posing risk of Non-Compliance. The department head is expected to look for such task and ensure that these are complied to within the stipulated time to ensure minimum non-compliance. Rest of the functions of the Function/Department Head is same as the Reviewer. For the details, please refer earlier section. Kindly refer back to Section A & B 36 P age

37 ADDITIONAL FUNCTIONALITY OF THE DEPARTMENT/FUNCTION HEAD: DEPARTMENT/FUNCTION HEAD METRICS REPORTS Metrics Report tab is added for functional department head to enable him / her not only to view his / her reports but also the reports of the performer / associates in his / her department. A. Click on the tab namely Reports and Metrics Report. Following page will appear. 37 P age

38 A. The department head can generate the report for his / her department as well as for individual team members under his department by checking / unchecking the boxes for each member. B. The department head will get only applicable categories of law and can optionally select specific categories. The rest of the report generation process is same as that is described in the earlier section. Legislation wise Report also can be generated from as described in the earlier section. METRICS REPORTS: The Function / Department Head can generate the report on the activities that have been completed and pending for user specified criteria. This report can be filtered for specific criteria. To come to reports screen, click on the option Metrics Reports from the Reports option on main menu. The following screen will appear. A. Provide the From Date. B. Enter To date. 38 P age

39 C. Check Task Status boxes to select tasks those are Not Complied / Complied / Posing Risk of Non Compliance. D. Select units for which the reports to be generated. All option is used to generate report for ALL units. E. Select the risk profile for reporting. All option is used to select all risk profiles. F. Select specific department or select ALL departments by checking appropriate boxes. G. Select specific law categories or ALL categories by checking appropriate boxes. H. Click Show Report link to generate the report. The following screen will appear. The Report use color codes Red highlights number of tasks Not Complied, Green highlights the number of tasks Complied and Orange shows the tasks that are Posing Risk of non compliance. 39 P age

40 SECTION D - UNIT HEAD/COMPLIANCE HEAD/CHIEF COMPLIANCE OFFICER At Top Management level there are additional functions that need to be performed. Rests of the functions are same as described under Performer and Department Head section. This section describes only the additional features. For other functions please refer to the earlier section. Upon the successful validation of the user id and password the Unit Head/Compliance Head/CXO Dashboard will appear. 40 P age

41 UNIT HEAD/COMPLIANCE HEAD/CXO DASHBOARD: 1) Entity wise Compliance status - In this, the Chief Compliance Officer can view the graphical representation of the Entity wise Compliance Status along with statistics. 41 P age

42 2) Region wise Compliance Status - In this, the Chief Compliance Officer can view the graphical representation of the Region wise Compliance Status along with statistics. 42 P age

43 3) Unit wise Compliance status - In this, the Chief Compliance Officer can view the graphical representation of the Unit wise Compliance Status along with statistics. 43 P age

44 4) Function wise Compliance status In this, the Chief Compliance Officer can view the graphical representation of the Function wise Compliance Status along with statistics. 44 P age

45 ADDITIONAL FUNCTIONALITY OF THE UNIT HEAD/COMPLIANCE HEAD/CXO ADMINISTRATION A. Click on Administration to maintain Users / Functions / Company Units / Regions / Entities / Holidays / Device Summary / Search keyword. The following screen will appear 45 P age

46 USERS (SUMMARY, ADD, UPDATE) B. Click on User Summary to maintain user list and profiles. Following page will appear. C. If the user profile is to be updated, click on the Update link. Following page will appear. A. Select the Status from the drop down box. It is one of Active / Lock / Out of Office. B. Fill in the other user details and click Update to save the information. C. Click Cancel to quit the changes. 46 P age

47 Adding New User This role will be able to maintain the user list and profiles. Menu : Administration users New User A. Click New User to create new user. Following page will appear. A. Fill up the user information. Select the roll from the drop down list box. B. Click Add button to store the user information in the database. C. Click Reset button to erase all information from the page but still remain on the same page. D. Click Cancel button to quit the page without saving changes. 47 P age

48 RESET PASSWORD: Menu : Administration Users Reset Password When for some reason the user is not able to log into Legatrix, his/her password needs to be reset. Please note that the password is system generated and needs to be communicated to the concerned user. He will need to log-in to the system with the new generated password. When he logs in for the first time after the password is reset, it is required that the user will change his / her password. A. Click Reset Password link. Following page will appear. A. Select the user for whom the password is to be reset. B. Click Reset Password button to reset the password. Please note that the password is automatically generated by Legatrix and will be displayed as shown on the page above. This needs to be communicated to the user. 48 P age

49 Adding New Function The new function can be created through two options. The first option is already described in the Department Head Section. FUNCTION (SUMMARY, ADD & UPDATE): A. Click the New Function to create new function. Following page will appear. A. Select the entity from the dropdown list. B. Select Unit from the dropdown list. C. Enter the name of the new function. D. Click Add button to add the function in the system. E. Click Cancel button to quit without saving the function information. 49 P age

50 UNITS (SUMMARY, ADD & UPDATE): Using the Company Units link, user can maintain the details of the existing units and add new units. A. Click on the Company Unit link in the dropdown menu for Administration menu option. There are two options, Unit Summary and New Unit. If you want to view the existing unit details click on Unit Summary link. Following page will appear. 50 P age

51 A. Select the Entity and the Region for which the units are to be viewed. B. Click Add New Unit button to create new unit for the selected entity. C. Click Update link to update the Unit Head of the selected entity. Add New Unit When Add New Unit button is clicked, following page is displayed. A. Select the entity from the dropdown box for which the unit is to be created. B. Enter name of the unit. C. Brief about the unit by giving short description. D. Click Add to add the unit. E. Click Cancel to quit without storing the unit. 51 P age

52 Update When Update link is clicked, following page is displayed. A. Select the entity for which the details of Unit Head are to be updated B. Select the unit head from the Unit Heads provided. C. Click Save Changes button to update the unit head details. D. Click Cancel to quit without updating the unit head details. 52 P age

53 ENTITY (SUMMARY, ADD & UPDATE): Menu : Administration Entity Entity Summary Using the Entity link, user can view the details of the existing entities and add new entity. A. Click on the Entity link in the dropdown menu from Administration menu option. There are two options, Entity Summary and New Summary. If you want to view the existing entity details, click on Entity Summary link. Following page will appear. A. Click New Entity button to create new unit for the selected entity. B. Click Update link to update details of the entity. 53 P age

54 New Entity Menu : Administration Entity New Entity When New Entity button is clicked, following page is displayed. A. Enter name of the entity. B. Click Add to add the entity. C. Click Cancel to quit without storing the entity. Update When Update link is clicked, following page is displayed. A. Select the entity head from the dropdown box. B. Click Update button to update the entity head details. C. Click Cancel to quit without updating the entity head details. 54 P age

55 HOLIDAYS: Holidays details can be viewed by clicking on the Holidays button from Administration as shown in the above picture. Holidays can be added as shown in the below picture - A. Put Holiday date B. Put description of the holiday C. Click on Add to add in the list D. Click on Cancel to cancel 55 P age

56 DEVICES (SUMMAY, ADD & UPDATE): DEVICE SUMMARY Device summary can be viewed by clicking on Device Summary from Administration. More devices can be added by clicking on Device Summary. A. Select the type of device from the drop down Device Type B. Put the description of the device. C. Ensure the Unit name. D. Click on Add to confirm the new device, which appears below. E. Click on Cancel to cancel the addition of new device. 56 P age

57 SEARCH KEYWORD: To make the search of task easier, key word for the task search can be added by clicking Search Keyword from Administration. Following image will appear by clicking on Search Keyword A. Select the category of law under which you want to add the keyword. B. Put the Search Keyword C. Click on Add to add the search keyword D. Click on reset to make the changes 57 P age

58 COMMON If you wish to send an to the users of this Legatrix, common can be sent by clicking on Common from Utility Once you click on Common , following image will appear. Details can be put as seen in the image to send the common P age

59 REPORTS: Metrics Compliance Certificate Performance Report Legislation wise Report Task Wise Compliance Report A. Click on the Reports menu option and a dropdown list will be displayed. It has four options, Metrics, Compliance Certificate, Performance Report and Legislation wise Report 59 P age

60 METRICS: When the Metrics menu item is clicked, following page will appear. A. Select the from and to dates for the metrics report. B. Select the entities for reporting. Users can check / uncheck the boxes to select / deselect the entities. C. Select the units for reporting. Users can check / uncheck the boxes to select / deselect the units. Check All the boxes to select all the units. D. Select the departments for reporting. Users can check / uncheck the boxes to select / deselect the departments. Check All the boxes to select all the departments E. Select the risks for reporting. User can check / uncheck the boxes to select / deselect the risks. Check All the boxes to select all the risks. F. Select the law categories for reporting. User can check / uncheck the boxes to select / deselect the law categories. Check All box to select all the law categories. 60 P age

61 G. Click Show Report to generate the metrics report. When this link is clicked following web page will appear. 61 P age

62 COMPLIANCE CERTIFICATE: When the Compliance Certificate menu item is clicked, following page will appear. A. Select the year and quarter for the compliance certificate. B. Check the boxes for Not Complied and Complied as per reporting requirement. C. Select the entities for reporting. Users can check / uncheck the boxes to select / deselect the entities. D. Select the units for reporting. Users can check / uncheck the boxes to select / deselect the units. Check All box to select all the units. E. Select the departments for reporting. Users can check / uncheck the boxes to select / deselect the departments. Check All box to select all the departments F. Select the risks for reporting. User can check / uncheck the boxes to select / deselect the risks. Check All box to select all the risks. G. Select the law categories for reporting. User can check / uncheck the boxes to select / deselect the law categories. Check All box to select all the law categories. H. Click Generate Report to generate the metrics report. When this link is clicked following web page will appear. 62 P age

63 This contains annexure which lists all the tasks with reasons and action taken columns. 63 P age

64 PERFORMANCE REPORT We can view the Performance/status report of the Performer relating to the entire task assigned to him/her. We can view the Performance/status report of the Performer relating to the entire task assigned to him/her for a particular period. 64 P age

65 LEGISLATIONWISE REPORT: In this report we can view the Legislation wise status of the tasks assigned for the particular period for a selected Unit/Department/Performer. Report shows Activated Task, Complied Task and Non Complied Task for given period. 65 P age

66 TASK WISE COMPLIANCE STATUS a. Menu : Reports Task wise compliance status b. This report will give a Task wise quarterly compliance status. 66 P age

67 TASK ADMINISTRAITON: INTERNAL COMPLIANCES: a. Menu : Task Administration Internal Compliances New Legislation / New Task Using this functionality user can define organizations internal compliances. b. For this first we have to create a New Legislation using New Legislation menu. c. Internal compliances can be created under this added legislation by using New Task menu. d. These Added Tasks can be defined to the units/functions by using Menu : Task Administration Define Unit Tasks 67 P age

68 e. These defined tasks can be assigned to performer using menu : Task Administration Assign Tasks LEGAL UPDATE: Legal Update functionality is used to import the legal updates in the legatrix application. Menu: Task Administration Legal Updates. Follow the step mentioned below: a. Browse the legal update file (Legal Updates.xls) b. After clicking on Preview button, you can see the entire task along with summary. c. Click on the Get Update button for importing the said task(s) into the legatrix task database. 68 P age

69 Thank you. 69 P age