Compliance alerts and escalations

You can set compliance alerts and escalations, which will be sent out before compliance is due, and if the compliance rule is out of date.

Alerts can be used to advise selected users that a rule will expire at a set point. For example, you can set this to alert 21 days before expiry.

Escalations are used to advise selected users that a rule has expired. For example, you can set this to escalate 0 days after expiry. You could then set another one to escalate again 7 days later if the new document is still outstanding.

TOP TIP - Please consider the frequency of the compliance rule(s) you are setting alerts for. For example, if you have a weekly rule, you will need to ensure the alerts are sent less than a week in advance for the alert to function correctly. 

There are two ways that this can be done:

• You can apply the alert/escalation to the compliance template which will assign it to all the rules within the template
• You can apply the alert/escalation to individual compliance rules.

The same process for the setup applies to both, they are just done from slightly different areas of the system. In this example, we are doing the alerts via the template.
 

Step 1. Open the template

• To access templates go to Settings > Compliance > Compliance Template (if you want to add an alert to a rule you would choose Settings > Compliance > Compliance).
• Open the appropriate option from the ones you have available.
• Click 'Yes' on the send alerts if you want the alerts, and/or escalations if you want escalations.

Alerts 

• Click the 'Alerts' tab.
• Click 'Add New Alert'.
• Select 'Yes' on the 'Send Alerts' question.

• Select the alert medium, you can choose between Email, SMS or both (please note, that the users you select to send the alert to will need a phone number on their user account for SMS to work).
• Choose the timeframe of the alert, you can select the number of days, weeks, months or years before the compliance expires.
• Choose the time you need the alert to be sent out.  

• ‘Send Alert To’ will allow you to assign to yourself, other users or specific groups. These groups are based on the roles that you create in the user management area.

Please Note: The alert will only be sent to users that meet ALL of the following conditions:

1. They have that role type
2. They have data permissions access to the property for which the compliance is going out of date
3. They have compliance security access to the compliance rule for which the compliance is going out of date (see step 8 of adding a compliance rule)

• Enter a personalized message within the text area. This is not mandatory because the following details will automatically be included in the alert:
  •  
    1. Compliance Rule name
    2. Asset reference 
    3. Status of the compliance
    4. Frequency of the compliance
    5. Date the compliance rule expires

Compliance Escalations

• Click the 'Escalation' tab.
• Click 'Add New Escalation'.
• Select 'Yes' on the 'Send Escalations' question.

• Select the escalation medium, you can choose between Email, SMS or both (please note, that the users you select to send the escalation to will need a phone number on their user account for SMS to work).
• Choose the 'if overdue by' timeframe, you can select the number of days, weeks, months or years after the compliance expires.
• ‘Escalate To’ will give you the option to assign to yourself, other users or specific groups. These groups are based on the roles that you create in the user management area. 

Please Note: The escalation will only be sent to users that meet the ALL of the following conditions:

1. They have that role type
2. They have data permissions access to the property for which the compliance has gone out of date
3. They have compliance security access to the compliance rule for which the compliance has gone out of date (see step 8 of adding a compliance rule)

• The system will automatically add the following details to the escalation:
  •  
    1. Compliance Rule name
    2. Asset reference 
    3. Status of the compliance
    4. Frequency of the compliance
    5. Date the compliance rule expires