Compliance Manager is a feature that monitors for configured rules and when the rule conditions are met, it actions either an email to a specified target, or it launches a workflow.
The feature is therefore used for the following use cases:
- Reminder notifications
- Compliance with business process via a workflow
- Are there any conditional approval processes? For example if x is over y value, then additional approval is required
- Are these workflows applicable to all contract types?
- What notifications are required and to whom do they go?
There are two main design options related to compliance rules:
By Milestone Date
This option allows you to specify a number of days/month/years, before/after a given Date data point. It is also possible to add more than one Date related condition before the rule is triggered.
By Contract Change
This option allows you to choose from the following parameters:
- Whether the rule triggers on contract Creation / Deletion / Update / Any Change
- The Contract/Transaction Type: i.e. Contract / Order /Amendment / Termination / Rescission / Contract Transaction / or a Document
- The specific data point to check
- Various operators (e.g. is equal to / contains / starts with, etc) and the specified value
It is also possible to add more than one data point (with their own operator and specified value) before the rule is triggered.
One the rule conditions have been met, the next design decision relates to the action to be taken:
Allows a short message to be configured, as well as the target user or user group. (Please note it is not possible to dynamically determine the target email address. The only exception is that the ‘Deal Owner’ can be specified as the target.)
Any of the available workflows can be initiated, You can configure a short message that will be shown in the workflow task, as well as the reviewer user or user group. (The latter is only available for Group Review workflows).
Set to expired
Launches a very specific workflow that updates the contract status to ‘Expired’. This is meant to be used in combination with the ‘Expiry Date’ data point. (However caution is advised in using this rule as often the renewal is just running late, in which case the status needs to be set back to active. As such, if the majority of contracts do get renewed, it is often preferable to leave updating the status to expired / terminated to the contract owner, once it is confirmed the contract will not be renewed.)
Lastly, it is possible to filter any compliance manager rule to only apply to specified sites.
- The compliance rules need to be configured in advance. For conditions related to the creation of a contract, a new rule will not trigger retrospectively against existing contracts. When coupled with migration of legacy contracts onto the platform, it is critical to have all the rules in place ahead of the migration activities.
- As you need to specify a target user/user group, these need to be set up in the system prior to setting up the compliance manager rule
- Consider the workflow/notification targets for compliance manager rules before the design has been finalized. You may instead prefer a smaller subset of a user group to get alerts/tasks, than the whole department.
- When configured to ‘Send Email’, it is not possible to add attachments, nor to have the email message contain dynamic values (e.g. expiry date).
- There is no Export/Import function for compliance rules. Promoting rules from lower environments to Production requires the rules to be recreated manually. As a result, but also for maintenance reasons, try to keep the number of rules to a manageable number.
- Whereas a workflow launched manually will provide a notification back to the workflow initiator once the approval has been granted, when launched via Compliance Manager there is no user initiator. The contract will need to be monitored by the Contract Owner (or similar) to determine when it is possible to continue the contracting process.
- Due to this reason, it is typical to use a bespoke workflow that can update the contract status following approval.
Things to avoid
- Don’t over engineer / attempt to automate absolutely everything via a compliance manager rule. There will always be exceptions and these should remain exceptions (i.e. not design rules to cater for them)
- Create different rules that’s very specific just because you want different messages in the emails. This will cause maintenance overhead. Rather keep the notifications generic where possible.