compliance management solution
TRANSCRIPT
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USER MANUAL
Version 5.0
COMPLIANCE MANAGEMENT SOLUTION
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TABLE OF CONTENTS
1. INTRODUCTION................................................................................................................. 4
2. GETTING STARTED ............................................................................................................ 6
3. SECTION A: PERFORMER/ASSOCIATE ................................................................................. 7
3.1 DASHBOARD ......................................................................................................................8
3.2 TASKS ...............................................................................................................................9
3.2.1 TASK SUMMARY ........................................................................................................ 10
3.2.2 ONGOING TASKS ....................................................................................................... 17
3.2.3 CONDITIONAL TASK ................................................................................................... 18
3.2.4 PERIODIC TASK .......................................................................................................... 19
3.2.5 COMPLETED TASKS .................................................................................................... 20
3.2.6 NON – COMPLIANT TASKS .......................................................................................... 21
3.2.7 COMPLIANCE CALENDAR ............................................................................................ 22
3.3 UTILITY ........................................................................................................................... 23
3.3.1 SHOW CAUSE NOTICE ................................................................................................ 23
3.3.2 REFERENCE DOCUMENTS – LIBRARY............................................................................. 26
3.3.3 SEARCH DOCUMENT .................................................................................................. 27
3.3.4 OUT OF OFFICE ......................................................................................................... 27
3.4 CHANGE PASSWORD ......................................................................................................... 28
4. SECTION B: REVIEWER..................................................................................................... 29
4.1 REVIEWER DASHBOARD:.................................................................................................... 30
4.2 ADDITIONAL FUNCTIONALITY OF THE REVIEWER................................................................... 31
4.2.1 CHANGE PERFORMER................................................................................................. 31
4.2.2 CHANGE PERFORMER LOG/HISTORY ............................................................................ 32
4.2.3 ACTIVATING THE CONDITIONAL/PERIODICAL TASKS ....................................................... 33
4.2.4 ACTIVATING THE ONGOING TASKS ............................................................................... 33
5. SECTION C: DEPARTMENT/FUNCTIONAL HEAD ................................................................ 35
5.1 DEPARTMENT/FUNCTION HEAD DASHBOARD....................................................................... 35
5.2 ADDITIONAL FUNCTIONALITY OF THE DEPARTMENT/FUNCTION HEADS: .................................. 36
5.2.1 DEPARTMENT/FUNCTION HEAD METRICS REPORTS........................................................ 36
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6. SECTION D - UNIT HEAD/COMPLIANCE HEAD/CHIEF COMPLIANCE OFFICER...................... 39
6.1 ADDITIONAL FUNCTIONALITY OF THE UNIT HEAD/COMPLIANCE HEAD/CXO.............................. 42
6.1.1 ADMINISTRATION...................................................................................................... 42
6.1.2 USERS (SUMMARY, ADD, UPDATE) ............................................................................... 42
6.1.3 RESET PASSWORD ..................................................................................................... 44
6.1.4 FUNCTION (SUMMARY, ADD & UPDATE) ....................................................................... 45
6.1.5 UNITS (SUMMARY, ADD & UPDATE) ............................................................................. 46
6.1.6 HOLIDAYS ................................................................................................................. 48
6.1.7 DEVICES (SUMMAY, ADD & UPDATE) ............................................................................ 49
6.1.8 SEARCH KEYWORD..................................................................................................... 50
6.1.9 COMMON EMAIL....................................................................................................... 51
6.2 REPORTS ......................................................................................................................... 52
6.2.1 METRICS .................................................................................................................. 53
6.2.2 COMPLIANCE CERTIFICATE.......................................................................................... 55
6.2.3 PERFORMANCE REPORT ............................................................................................. 57
6.2.4 LEGISLATIONWISE REPORT.......................................................................................... 58
6.3 TASK ADMINISTRATION ..................................................................................................... 59
6.3.1 INTERNAL COMPLIANCES............................................................................................ 59
6.3.2 LEGAL UPDATE .......................................................................................................... 60
7. ADDITIONAL FEATURES ................................................................................................... 61
7.1 GROUPING OF TASK ................................................................................................... 61
7.2 COMPLETE NON COMPLIED TASK ON COMPLIANCE CALENDAR ........................................ 64
7.3 QUESTION BASED COMPLIANCES ................................................................................. 66
7.4 EVENT INITIALIZATION ............................................................................................... 67
7.5 WHISTLE BLOWER ACCESS .......................................................................................... 69
7.6 AUDIT ACCESS ........................................................................................................... 70
7.7 ADVISORY SERVICES................................................................................................... 72
7.8 MINI SOP.................................................................................................................. 72
7.9 BUSINESS RESPONSIBILITY REPORTING ......................................................................... 73
7.10 PREVENTION OF SEXUAL HARASSMENT AT WORKPLACE MODULE........................................... 77
7.11 MAKER-CHECKER.............................................................................................................. 79
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8. LEGASIS SUPPORT PLATFOR TOOL ................................................................................... 83
8.1 NEW TICKET.............................................................................................................. 84
8.2 TICKET SUMMARY ..................................................................................................... 85
8.3 ADVISORY SERVICE .................................................................................................... 85
1. 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,
department-wise 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.
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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.
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2. 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.
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3. SECTION A: PERFORMER/ASSOCIATE
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.
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3.1 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.
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3.2 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.
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3.2.1 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 -
(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.
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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
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(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.
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To view task details, click on Title from dashboard.
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.
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(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 ‘Supporting Documents’ tab to submit documents used for completion of the compliance of a task. The proof of completion of the task should be uploaded in “Supporting Documents” tab.
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How to upload new document -
Select the ‘New Documents’ button to load the documents in the repository.
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.
A
B
C
D
E
G F
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(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.
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3.2.2 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:
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.
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3.2.3 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”.
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3.2.4 PERIODIC TASK
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3.2.5 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.
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3.2.6 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.
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3.2.7 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.
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3.3 UTILITY
3.3.1 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 –
Click on the option “New SCN/Order/Direction”, following web page will open –
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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
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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.
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3.3.2 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.
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3.3.3 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
3.3.4 OUT OF OFFICE
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3.4 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.
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4. 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.
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4.1 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
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4.2 ADDITIONAL FUNCTIONALITY OF THE REVIEWER
4.2.1 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.
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4.2.2 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.
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4.2.3 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.
4.2.4 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
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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.
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5. 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.
5.1 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
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5.2 ADDITIONAL FUNCTIONALITY OF THE DEPARTMENT/FUNCTION HEADS:
5.2.1 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.
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.
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.
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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.
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.
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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.
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6. 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.
UNIT HEAD/COMPLIANCE HEAD/CXO DASHBOARD
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1) Unit wise Compliance status -
In this, the Chief Compliance Officer can view the graphical representation of the Unit wise Compliance
Status along with statistics.
2) Function wise Compliance status -
In this, the Chief Compliance Officer can view the graphical representation of the Function wise Compliance
Status along with statistics.
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6.1 ADDITIONAL FUNCTIONALITY OF THE UNIT HEAD/COMPLIANCE HEAD/CXO
6.1.1 ADMINISTRATION
A. Click on ‘Administration’ to maintain Users / Functions / Company Units / Regions / Entities /
Holidays / Device Summary / Search keyword. The following screen will appear
6.1.2 USERS (SUMMARY, ADD, UPDATE)
B. Click on ‘User Summary’ to maintain user list and profiles. Following page will appear.
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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.
Adding New User
This role will be able to maintain the user list and profiles.
A. Click ‘New User’ to create new user. Following page will appear.
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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.
6.1.3 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 ‘Change Password’ link. Following page will appear.
A. Select the user for whom the password is to be reset.
B. Click ‘Change 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.
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6.1.4 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.
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6.1.5 UNITS (SUMMARY, ADD & UPDATE)
Using the ‘Company Units’ link, user can maintain the details of the existing units and add new units.
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.
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.
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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.
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.
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6.1.6 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
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6.1.7 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.
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6.1.8 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
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6.1.9 COMMON EMAIL
If you wish to send an email to the users of this Legatrix, common email can be sent by clicking on ‘Common
email’ from Utility
Once you click on Common email, following image will appear.
Details can be put as seen in the image to send the common email.
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6.2 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’
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6.2.1 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.
G. Click ‘Show Report’ to generate the metrics report. When this link is clicked following web page will appear.
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6.2.2 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.
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This contains annexure which lists all the tasks with reasons and action taken columns.
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6.2.3 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.
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6.2.4 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.
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6.3 TASK ADMINISTRATION
6.3.1 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
e. These defined tasks can be assigned to performer using menu :
Task Administration Assign Tasks
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6.3.2 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.
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7. ADDITIONAL FEATURES
7.1 GROUPING OF TASK
Grouping of Task functionality is used in legatrix to group the task so that user can easily identify main task
and its subtasks.
Menu: Task Administration Define Group Task
Task Administration Group Task Summary
First Define task as required:
Follow the step mentioned below:
a. Select Task type with whom you want to add the task.
b. After selecting task type select the task from grid by selecting checkbox.
c. Now click on Add button to add task in grouping.
d. For adding subtask ,select main task from main task dropdown and select task from grid by clicking
checkbox ,click on Add Button , all that task will get add to selected main task.
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e. You can see main task and its related subtask on Group Task Summary Page.
f. You can see the grouped task by following maintained step:
1. Select Task type as main Task on Group Task Summary page.
2. Click on Title of main task.
3. On View Task Detail page you are able to see grouped task.
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g. You can see individual task details by click each task.
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7.2 COMPLETE NON COMPLIED TASK ON COMPLIANCE CALENDAR
This functionality is used in legatrix to complete Non Complied task on Compliance Calendar.
Menu: Task Compliance Calendar
Follow the maintained step to Complete Non Complied Task:
a. Select the date from Calendar colored in Red.
b. Enter the required fields from Complete Task Panel.
c. Upload document if you require.
d. Select the task from grid which you want to complete.
e. Now click on Complete and Ok button for completion.
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7.3 QUESTION BASED COMPLIANCES
Question Based compliances functionality is used to activate event task based on questions.
Menu: Task Event Compliances
Follow the below step to activate task based on questions:
a. Select the question from grid whose task you want to activate.
b. Click on yes link ,you will get the task related to that question.
c. Now put the dates corresponding to task that you want to activate.
d. Click on Activate button.
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7.4 EVENT INITIALIZATION
Event Initialization functionality is used to initialize the tasks for event on particular Event Date.
According to Event Date Due Dates for performer, Reviewer and Function Head get reflected.
Menu: Task Task Summary
Follow the below steps to Initialize the Event:
a. Select the Law Category and other selection criteria for which you want to initialize the event.
b. Now select the Event.
c. Select Sub Event/BaseDate.
d. Click on Search button to find the task related to Sub Event/BaseDate.
e. Now Select Event Date on which you want to do Event.
f. Now you are able to see the Due Date column in followed grid. Due Date column contains Date for
performer, Reviewer, Function Head according to Event Date for that Task.
g. Now click on Initialize Event task button.
h. So now that Event get initialize for that Event Date.
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7.5 WHISTLE BLOWER ACCESS
This allows an employee of the company to report any fraud noticed by him. The alert will go to the chief compliance head accordingly. The employees having access to the legatrix link can blow a whistle, to do so the following details need to be filled in:
Fill in the details as required below to report the fraud:
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7.6 AUDIT ACCESS
The auditor role can be given to any third party for conducting Audit. The auditor can give comments on task and documents attached as supporting documents to a task. An Audit report may be generated based on the audit comments.
Auditor’s dashboard
To perform audit, go to the history tab of a task and click of Audit.
Add the audit comments and complete the Audit.
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7.7 ADVISORY SERVICES
The advisory module allows the users to seek advise on the tasks mapped to them on legatrix. The advise
may be sought on a legal and technical issue. The user may select the relevant options and seek assistance
of Legasis team on any issue. To use this option the user may click on the question mark sign for the
particular task and proceed with selection of details.
7.8 MINI SOP
This allows the company to upload a SOP regarding the completion of a task. This allows the internal
SOPs to be available on the system to perform particular task. A mini SOP for the respective task would
help capture the back-end working in regard to the task. This mini SOP can also capture peculiarities /
special attentions required for completing the task. Performer can upload SOP for his/her task
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7.9 BUSINESS RESPONSIBILITY REPORTING
This module takes care of the reporting requirements as per the SEBI guidelines. The policies and procedures of the company may be uploaded on the system. Based on these the tasks are prepared. The tasks are mapped to the concerned performers and a report can be generated based on the format prescribed by the SEBI.
The dashboard will show the principle wise performance
The BR Information may be stored through the following menu options
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The policies and procedures may be uploaded into the system through the following menu options
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The principle wise performance report may be generated in the following format through the reports option
The following Report can be generated
The Corporate Social Responsibility Module The details of CSR may be added through the following menu option
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The following page allows adding the CSR information
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7.10 PREVENTION OF SEXUAL HARASSMENT AT WORKPLACE MODULE
The committee details may be entered in the system
The details of the committee may be viewed through the following option
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The details of the meetings conducted by the internal complaints committee may be entered through the following option:
The Sexual Harassment Act requires mandatory trainings to be conducted. The training details may be stored through the following option.
The summary of trainings conducted may be entered through the following option
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7.11 MAKER-CHECKER
In this functionality,
o Reviewer can review the task reported by Performer, where Reviewer is not assigned to any
task, Function Head would be responsible for the same.
o Reviewer / Function Head can provide sign-off to the reported task
o Reviewer/Function Head can reassign the task to the concerned Performer where reporting
of the tasks is not satisfactory
Procedure:
o On reporting of tasks by Performer, concerned Reviewer / Function Head will receive “Task
Approval Alert” through e-mail
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o Then Reviewer / Function Head can Login and Access Maker Checker Functionality by using
Task Maker Checker Summary menu
o Tasks can be filtered out as per the requirement by using “Task Selection Criteria”
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Color combination used on Maker Checker Web-Page:
Amber Color: Tasks reported by Performer
Red Color: Tasks reassigned by Reviewer/Function Head
Performer’s comment will be available on the screen for Review purpose
Reviewer / Function Head can view Tasks Details by clicking on “Title” of concerned task
On task review, Reviewer/Function Head should take a call whether to Reassign Task or not.
o To re-assign or complete the task:
Select the task by using check box (this functionality is also available to select multiple tasks)
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Select appropriate status as “Reassigned” or “Assign Task Completed” in Status Combo Box
Put relevant comment (i.e. reason for reassignment or any other) in the Comment Box
Click on “Completed/Reassign Task”
In case of “Assign Task Completed” status the concerned task will get completed in the
system and e-mail alert will go to the concerned performer.
In case of “Reassign” status the task will get reassigned to the concerned performer for
necessary action and e-mail alert will go to the concerned performer. This task will be closed
only after sign-off by Reviewer/Function Head.
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8. LEGASIS SUPPORT PLATFOR TOOL
Legasis Support Platform is ticketing tool. Using this tool, users can raise the query to the Legasis Support
team. Query might be technical, functional, task(s) related, advisory service or any help/information
required for Legatrix application.
To open the Legasis Client Support platform, go to the Support screen by clicking on Support icon from
Home page.
On Support page, click on “Click here to access ticketing tool” link, Legasis Support Platform tool will open in
new browser window.
The Home page has the below menus/icons:
New Ticket
Ticket Summary
Advisory Service
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8.1 NEW TICKET
Click on New Ticket icon on Home page to see Raise Ticket screen:
Ticket Details:
The following fields are auto populated:
1. User Name
2. Email Id
3. Raised Date (Current Date)
User can select the following fields:
1. Severity
The possible values are Low, Medium and High.
2. Title
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This field is to categories the tickets in the system only. User can select multiple titles to generate
multiple tickets along with common ticket description.
3. Description
This would be any valid text to describe the ticket(s)/issue(s).
Attachment:
User can upload supporting document(s) for ticket/issue.
8.2 TICKET SUMMARY
Click on Ticket Summary icon on home page see Ticket Summary page:
Logged in user can see all the tickets raised by him/her. In case user is coordinator, he/she can see all the
tickets of all the users in the tool.
Users can also filter the tickets based on provided criteria including date range, ticket status, severity, Title
ticket no etc.
8.3 ADVISORY SERVICE
Click in Advisory Service icon from Home page to see Advisory Service screen:
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In case user required advisory service they can user this screen with required description on it.
Query Details:
The following fields are auto populated:
1. User Name
2. Email Id
3. Raised Date (Current Date)
4. Description
This would be any valid text to describe the required advisory service.
Attachment:
User can upload supporting document(s) for advisory service.
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Thank you.