Compliance Management

ComplianceMany executives feel that they have spent a lot of money on compliance without getting much in return. This is not surprising if they have restricted their efforts to short-term goals focused on passing annual audits. In this case, compliance spending is largely consumed by employees performing repetitive, manual tasks. However, if these executives had instead focused on developing a robust, long-term compliance framework, their investments would have lowered the cost of compliance and could have been leveraged enterprise-wide to reduce risk and increase efficiency. Organisations that use the knowledge, skills and technologies acquired through their compliance efforts to create a foundation for improvement in other areas of the enterprise can fully leverage their compliance spending.

Automating Compliance Management activity allows Compliance & Risk management specialists to concentrate their time and resources on producing tangible benefits for the organisation and not get bogged down with the administration of systems.

  • Audit Scheduling,
  • Electronic Audits, Reporting, & Follow up
  • Inspections
  • Online & Offline Assessments
  • Customer Complaints & Feedback
  • Corrective & Preventive Actions with electronic workflow
  • Workflows for Approval & Variations
  • Investigation and Task Workflow Management
  • Interfaced to Risk Calculator for prioritising

Compliance Audits

Fast Track Audit Management covers Audit Scheduling, preparation, generating Audit Checklists, recording Findings, Observations and Corrective Actions, creating and distributing Audit Reports, following up on outstanding issues and closing out of audits. Integrated with Risk and Document Management Fast Track’s Audit Management provides a powerful tool for driving Compliance.

Being able to specify a frequency against each audit allows the automatic rescheduling of audits year to year eliminating the scheduling process. Electronic conferencing streamlines the coordination of audits and Audit Report agreement and the auto reminder and escalation of overdue audits, follow-ups, and close outs, eliminates concerns over maintaining certification.

Compliance.Audits

Features:

  • Multiple Audit Schedules
  • Audit Plans
  • Audit Scheduling – Cyclic or one off
  • Allocation of manpower/ notifications
  • Generate/select Audit checklists
  • Attach evidence, Entry/Exit minutes, etc
  • Record Findings & CARs
  • Generate & workflow Audit Report signoff

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Compliance Inspections

Fast Track Inspections are basically unscheduled audits. It allows for the preparation and generating of Checklists, recording Findings, Observations and Corrective Actions, creating and distributing Inspection Reports, following up on outstanding issues and closing out of inspections. Integrated with Risk Management Fast Track’s Inspections provides a powerful tool for driving Compliance.

Electronic conferencing streamlines the coordination of inspections and Inspection Report agreement and the auto reminder and escalation of overdue actions, follow-ups, and close outs, ensure effective inspection system.

Features:

  • Multiple Inspection Schedules
  • Inspection Plans
  • Inspection Scheduling – Cyclic or one off
  • Allocation of manpower/notifications
  • Generate/select Inspection checklists
  • Attach evidence, Entry/Exit minutes, etc
  • Record Findings & CARs
  • Generate & workflow Audit Report signoff
Compliance.Inspections

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Compliance Corrective Actions

Corrective Actions combine Non-conformance Reports (NCR) and Corrective Action Reports (CARs) into a single record through an electronic workflow. Corrective Actions can be lodged and accessed from their source (e.g. audits, equipment, and documents) or directly from a Web Portal. Features include attachment of evidence, examples, and correspondence, audit logging of actions and changes, and a wide range of analysis including by cause, dept, type, source, and item. After Closeout CARs stay on file for analysis and trend reporting.

Automatic follow-up and escalation reduces time to resolution and eliminates concerns over maintaining certification. Analysis enables the organisation to learn from their experience while relating case to multiple influences (product, equipment, process) and builds future reference data for continuous improvement.

Compliance.CorrectiveActions

Features:

  • Record both Audit and non-Audit CARs
  • Raise & Monitor CAR's to be actioned with responsibilities
  • Electronic Workflow for processing & approval with optional/mandatory step
  • Major, Minor etc with different importance’s and workflow
  • Automatic Follow ups, reminder and outstanding emails with escalation
  • Analysis by cause, area, regulation, dept, time frames, KPIs, etc
  • Graphs, spreadsheets, lists

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Compliance Complaints

Fast Track Complaint Management covers the full lifecycle of complaints starting from Web submission of complaints directly in Fast Track initiating an electronic workflow for notification and resolution, with reminders and escalation of outstanding issues, to the closeout and feedback on the resolution. Features include attachment of evidence, examples, and correspondence, audit logging of actions and changes, and a wide range of analysis including by cause, dept, type, source, and item.

Continual feedback increases customer satisfaction, while automatic follow-up and escalation reduces time to resolution. Analysis enable organisation to learn from their experience while relating case to multiple influences (product, equipment, process) builds future reference data for continuous improvement.

Features:

  • Links to person/customer database internal or external to Fast Track
  • Electronic Workflow with history of actions and contacts with escalation of outstanding issues
  • Attach any file type for evidence, emails, correspondence, etc
Compliance.Complaints

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Compliance Investigations

Investigations provide for a comprehensive and secure Case Management tool to plan, record, coordinate, and report on investigations. Features include electronic workflows; recording Case Notes periodic reporting; attachment of evidence, examples, and correspondence; and audit logging of actions.

A comprehensive security model provides cross department access on a case by case basis while ensuring confidence in confidentiality of data and findings.

Compliance.Investigations

Features:

  • Case Management with workflow and periodic reviews
  • Case Notes, history of actions and contacts with escalation of outstanding issues
  • Attach any file type for evidence, emails, Medical Certificates, etc
  • Links to Incident and area
  • Comprehensive security model on case by case basis

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Compliance Review Boards

This function tracks the preparation, holding, and recommendations of formal Review Boards. It takes inputs from Submissions and outputs Outcomes and CARs for monitoring. Board records are created during the scheduling of the next Board, updated pre and post Boards, and closed on Board Report Authorisation. On Authorisation all related Outcomes and CARs are also authorised but are not closed.

By formally managing the whole board process, due diligence, probity and transparency of each board can be assured.

Features:

  • Terms of Reference
  • Develop submission checklists
  • Online/Offline submissions with attachments
  • Pre-Board briefing information packs
  • Board Agendas & minutes
  • Recording of findings, recommendations & CARs
  • Review Board Report with review & approval workflow
  • Tracking of outcomes & CAR with escalation of overdue tasks
Compliance.ReviewBoards

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