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- Compliance Management
- Who it's for
- Multi-site operations
Multi-site operations
An organization with several sites needs to know which unit owns a risk and which assessment period covers its controls. Compliance Management connects business units, risks, controls and assessments so a central lead can trace a test result back to the place and safeguard it concerns. Each unit can keep its contact and eligibility context while the organization retains the overall operating record.
How Compliance Management is set up for you
Site scope
Set up each active business unit under the correct organization and keep its contact details current.
Risk ownership
Record a named owner, likelihood, impact and scale version for each material risk.
Control testing
Connect the site's risk to an owned control, then test it inside an assessment for the relevant period.
Correction
Give the resulting finding and corrective action an owner and due date, with a separate reviewer for the retest.
An organization with several sites needs to know which unit owns a risk and which assessment period covers its controls. Compliance Management connects business units, risks, controls and assessments so a central lead can trace a test result back to the place and safeguard it concerns. Each unit can keep its contact and eligibility context while the organization retains the overall operating record.
Start with one organization and one operating unit whose team can explain a real risk and the safeguard used to address it. Record the risk rating and scale version before planning the assessment. Choose a period that matches the work being reviewed, then test one active control and preserve the sample reference. If the result fails, follow the finding through a corrective action and an independent retest.
The Compliance Lead should be able to open the assessment and see the unit, owner, period and connected work. The Control Owner should recognize the risk and know which evidence the Tester is asking for. A central report can compare ratings across units only when the same scale version is understood. Where units use different scales, keep that distinction visible during review.
Before expanding to other sites, rehearse a handoff from a local owner to a central reviewer. Check the evidence visibility that applies to the assessment attachment and confirm the reviewer can reach the source without receiving unrelated unit records.
Features to start with
Roles on the team
- Admin
- Sets organization access and maintains the people and business units used to scope work.
- Compliance Lead
- Owns assessment scope, obligation review routing and the operating record for the compliance program.
- Control Owner
- Maintains a control and the risk it addresses, then responds to test exceptions.
- Tester
- Records control tests and identifies findings for assessment review.
- Remediation Owner
- Plans and completes corrective work assigned to a finding.
- Independent Reviewer
- Decides submitted obligation reviews and records independent follow-up tests.
Set up Compliance Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.