How To Conduct A Compliance Test To Check If A Policy Is Followed Properly?

First step in conducting a Compliance Test is to understand the Objective and the Method of doing the Test.

Click on the name of the Compliance Test you wish to conduct. You can access this from the "My Compliance Test" tab in Compliance Management section.

Step 2 - When you click on the selected Compliance Test, you get the details of your selected Compliance Test. Following are the fields in this page:

Policy - this field shows the name of the corresponding Policy.

Compliance Area – any specific categorisation.

Compliance Test Undertaken – what test / question you want checked or answered.

Objective – specific objective of the test.

Method – the method in which the test is conducted

Compliance Test Results – if there are any previous tests conducted, there will be a list available to view.

Step 3 – Click on "Add Test Result" button at the top of the screen. Following are the fields in this page.

Compliance Test Undertaken - Document- what test / question you want checked or answered (already completed from previous screen).

Objective – specific objective of test automatically completed from previous screen.

Result Status- status/progress of test.

Approver - select who should approve this test.

Finding – enter your finding.

Conclusion - conclusion drawn from the findings on whether the test objective has been met.

Actions – actions and recommendations.

Notes - ad hoc notes and observations.

Attached Files - attach supporting documents to evidence findings and conclusion drawn.

Step 4 – After completing the entry of the test result, click on "Send For Approval" button.

If you wish to send for approval at a later stage, you can save the test and it will be visible in your Setup Compliance Tests tab in the "draft" state.

If you click the "Send for Approval" button, the test will be changed to "Awaiting Approval" state and the approver will get an email based on the template.

When he logs into Compliance Track, he can approve the test by clicking on the "Approve" button.