Task guide
The compliance dashboard
See at a glance whether CPD, the firm's AML risk assessment, its policies and staff training are red, amber or green, and open the people or items behind each figure.
The compliance officer answers to the Legal Council, the Financial Intelligence Centre (FIC) and the firm's insurer. Compliance, Dashboard shows the eleven areas they keep through the year, each red, amber or green, and every figure opens the people or items it counts.
How each area is coloured
- CPD is green while no lawyer is short of the licence year's requirement. Once lawyers are short it turns amber at the first of the firm's CPD shortfall reminders (days before), 90 by default, and red at the second, 60 by default.
- AML risk assessment is red when none has been approved or its review is overdue, amber when the review is due soon, a version waits for the managing partner, or a matter type is rated high that the assessment does not read, and green otherwise.
- Policies are red when attestations are overdue or a policy is past its review date, amber when no policy is in force, a review is due soon or a policy has never been published, and green otherwise.
- Training is red when anyone is overdue on a required course and amber when anyone is due soon.
- Undertakings are red with any breached or past its day, and amber with one waiting for a partner's approval.
- Complaints are red with any late, and amber with any open.
- Incidents (incidents and data breaches) are red once a notification clock has run out, and amber while one is running or an incident is open.
- Gifts are amber while a gift waits for a decision, and red while cash or a voucher waits.
- Outside interests are amber while declarations wait for review or confirmations are outstanding, and red once a confirmation is overdue.
- File reviews are red when a review or an action is overdue, and amber when reviews are due soon or a file was unsatisfactory this year.
- Insurance is red with no policy in force or cover below the firm's minimum, and amber while notices or claims are open or the policy ends within the first of the renewal reminders (60 days as shipped) with no renewal bound.
Under the areas, Due and overdue lists the dated duties behind them, and Twelve months each area's standing at the end of each month. Partners' report exports the dashboard on one page, on the letterhead, for the partners' meeting. The duties are also on Compliance, Calendar (see the compliance calendar).
Who sees it
The dashboard reads the whole firm, so it needs the compliance.dashboard permission, which the seeded Compliance officer role holds and the managing partner holds with every other. The days and periods behind the colours are firm settings under Settings, System, General, Compliance and People, each showing its default.
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- The firm's AML risk assessmentPrepare the firm-wide risk assessment the AML Act asks for, by kind of client, service, country and channel, have it approved, keep each approved version, and export it dated for the FIC or an auditor.
- Policies and attestationsKeep the firm's policies as versioned documents with an owner and a review date, send each version to the people it applies to, chase the overdue, and export who attested as inspection evidence.
- CPD by categoryRecord CPD with its category and whether the provider is accredited, read each lawyer's hours by category against the licence year's requirement, and export the firm's CPD report for licence renewal.
- Staff trainingKeep the courses the firm requires, such as anti-money laundering, who must take each and how often, record completions with their certificates, and see who is due or overdue.