Complyglobal Quick Start Guide

This information will let us know more about how to start complyglobal.

1  Questionnaire

1.1   Section 1 of the questionnaire

1.1.1   Consists of ‘Master Questions’.

1.1.2   These are questions which are already prefilled with the options selected during registration. However, when you click on ‘Continue to Questionnaire’, the following prompt will appear:

1.1.3   Answer any of the questions that have not been answered already during registration.

1.1.4   Click on ‘Save & Continue’ at the bottom right corner of the page to save the answers and proceed.

1.2   Section 2 of the questionnaire

1.2.1   Consists of ‘Global Questions’.

1.2.2   Questions like, Type of industry, Registrations applicable to the entity, etc. are answered in this section.

1.2.3   The section is mandatory and has to be filled out to in order for the user to move to the subsequent sections.

1.2.4   Select an answer for each question. Click on ‘Save & Continue’ at the bottom right corner of the page to save the answers and proceed.

1.3   Section 3 of the questionnaire

1.3.1   Consists of ‘Informational Questions’.

1.3.2   Important questions including- various company identification information such as entity registration details, business address, directors/ partners details, etc. are answered here.

4.3.3   Go back to the previous section by clicking on ‘Back’.

NOTE: At any point while answering the questionnaire, please use the ‘Back’ button at the bottom of the page to go back to the previous section. Do not click on the browser back button.

1.3.4   Once done answering, click on ‘Save & Continue’ at the bottom right corner of the page to proceed to the next section.

1.4   Section 4 of the questionnaire

1.4.1   Consists of ‘Additional Questions’.

1.4.2   Any additional information needed to gauge the company activities are answered here. Example – total turnover of the company during the previous year, category of assesses for filling return of income, etc.

1.4.3   Select an answer for each question. Click on ‘Save & Continue’ at the bottom right corner of the page to save the answers and proceed.

1.5   Section 5 of the questionnaire

1.5.1   The last section consists of ‘Event Based Questions’.

1.5.2   These questions need to be updated by the compliance manager regularly as and when the business dynamics change. Example ­– Change in business structure, Change in particulars of directors/ partners, etc.

1.5.3   These questions are primarily based on the occurrence of certain events throughout the year and thus the compliance manager needs to keep updating this section on a periodic basis. We recommend that this section be reviewed on a monthly basis.

1.5.4   The section is divided into further sub-sections. Click on the ‘+’ icon to expand the sub-sections and to answer the questions under each heading.

1.5.5   In the instance of the event occurring multiple times in the current fiscal year, use the “Add Event” functionality to define the occurrence of the additional event. [NOTE: Overwriting the date of a previously defined event will change the compliance tasks that were associated with it.]

1.5.6   To add an event, click on ‘Add Event’. One can add multiple event dates also.

 

1.5.7   Click on ‘Finish’ after completing the section, which marks the end of the questionnaire.

2   Adding Users

2.1   Upon registration, the user is automatically assigned the designation of Compliance Manager – a mandatory role in any entity on ComplyGlobalTM.

2.2   To add more users, go to ‘Compliance Manager Admin’ on the left panel of the dashboard.

2.3   Click on ‘Users’.

2.4   Click on ‘Add New User’ icon on the top right hand corner of the page.

2.5   Enter all the mandatory fields.

2.5.1  First name – Enter the first name of the user

2.5.2  Last Name – Enter the last name of the user

2.5.3  Email – Enter the registered ID of the user

2.5.4  Roles – Assign a suitable role to the user (NOTE: A user can be assigned more than one role. Press Shift + Cursor to select multiple roles)

2.5.4.1   Roles in the System

There are four default roles that can be assigned to Users.

2.5.4.1.1   Compliance Manager – This is the default user role upon registration. This is the most critical role in the application. Every entity needs at least one compliance manager. This is essentially your Admin role.

2.5.4.1.2   Compliance Editor – One or multiple editors can be assigned for completion of specific tasks. These are the users who help complete a given task.

2.5.4.1.3   C Level Users – This role can be assigned to the CEO’s, CFO’s, CTO’s etc. of your company.

2.5.4.1.5   Auditor – This is typically an external party who ‘audits’ the accuracy and timely completion of tasks and abidance of compliances by the due dates.

2.5.4.2   Actions and responsibilities permissible

Permissions

Compliance Manager

Compliance Editor

C-Level User

Auditor

Entity Registration

Register Entity

Y

 

 

 

 

Answer Questionnaire

Y

 

 

 

 

Edit Questions

Y

 

 

 

 

Override Questions

Y

 

 

 

User Management:

Setup Users

Y

 

 

 

 

Assign Roles

Y

 

 

 

 

Delete Users

Y

 

 

 

 

Define Permissions & Task Assignment

Y

 

 

 

 

Compliance Task Management

 

 

 

 

 

View Calendar

Y

Y

Y

Y

 

View Checklist

Y

Y

Y

Y

 

Complete Compliance Tasks

Y

Y

 

 

 

Upload Documents

Y

Y

 

 

Reports:

View and Generate  reports

Y

Y

Y

Y

 

Virtual Compliance Room

 

 

 

 

 

View Folder Structures

Y

Y

Y

Y

 

View Documents

Y

Y

Y

Y

 

Download Documents

Y

Y

 

 

 

Collaborate on Documents

Y

Y

 

 

Dashboard

View Dashboard

Y

Y

Y

Y

 

Move and Select Widgets

Y

Y

Y

Y

User Defined Compliances

Create User Defined Compliances

Y

 

 

 

 

View User Defined Compliances

Y

Y

Y

Y

 

Complete User Defined Compliances

Y

Y

 

 

 

Organogram

Y

Y

Y

 Y

 

Rename Default  Group

Y

 

 

 

 

Create Groups

Y

 

 

 

 

Create Unregistered Entity

Y

 

 

 

 

Assign and Move Groups

Y

 

 

 

 

Link/Unlink  Entities in the Organogram

Y

 

 

 

 

View Organogram

Y

Y

Y

Y

Account Options

Purchase/Upgrade Package/Services

Y

 

 

 

 

Upload Logo

Y

 

 

 

2.5.5  Select Entities – Select the entity to which the user is to be added

2.6   Click on ‘Save’ to save the user. Click on ‘Add’ to add more than one user at a time.

3   Assigning tasks to Users

3.1   Different Roles can be assigned to Users to allot responsibilities systematically.

3.2   Click on ‘Compliance Manager Admin’ on the left panel of the dashboard.

3.3   Click on ‘Roles’.

3.4   The default role of the user would appear. In order to edit, click on the edit icon.

Note: Compliance Manager Role cannot be edited. All the other roles can be edited and tasks can be assigned by selecting particular tasks or in bulk.

3.5   Assign Compliance Tasks to different Users as per Roles, Services, States, Areas, Compliances, and Sub Compliances.

3.6   A user can be assigned to all areas, compliances, sub compliances and tasks or a select combination of one or more.

3.6.1  Save & Assign Tasks – Click after selecting particular tasks to be assigned to the user

3.6.2  Assign All Tasks – Click for assigning all the tasks to the user

3.6.3  Unassign All Tasks – Click for unassigning all the tasks assigned to the user

3.6.4  Back to List Page – Click to go back to the list page

4  The Calendar

Calendar is the area wherein all Compliance tasks due, the time by which to complete them, and the peripheral documents to be submitted with them – all these information are reflected.

4.1   Reviewing and Navigating the Calendar

4.1.1   To view the entities compliance calendar, click on the ‘Calendar’ icon on the Navigation bar

4.1.2   Calendar view can be changed as per requirement.

4.1.2.1  State wise: Shows the registered states. If the entity is registered in the USA and has Nexus in states other than the registered state, ‘Select State’ pane helps navigate between compliance calendars of different states.

4.1.2.2  List and Grid view

4.1.2.3  Month / Week / Day wise

4.1.3   View the calendar in an expanded list version. Click on ‘Expand Tasks’ at the bottom left corner of the page.

4.1.3.1  In an expanded list version, filter the tasks as per: Duration, Task Name, State, Type, Category, Sub Category, Acts, Status, and End Date

4.1.3.2  Click on ‘Expand Calendar’ at the top left corner of the page, to go back to calendar view.

4.2   Completion of Compliance Tasks

4.2.1   Review the Calendar generated after filling in the questionnaire.

4.2.2   Click on a particular task in the calendar to view the task.

4.2.3   The task Screen would open up with the following fields. To compete the compliance tasks, some fields need to be updated:

4.2.3.1  Status: Click on the status and select the one applicable.

4.2.3.1.1     Open: the task is not completed and is open

49.2.3.1.2     Completed: the task is completed

4.2.3.1.3     In progress: the task is in the process of getting completed

4.2.3.1.4     Not applicable: the task is not applicable at the moment

4.2.3.2  Reminder: Click on ‘Reminder’ and set a customer alert if you need a customized alert. An email will be sent to the user who sets the reminder on the set date.

4.2.3.3  Actual Completed Date: Click on ‘Actual Completed Date’ to select the date when the task is actually completed.

4.2.3.4  Penalty: This is not a mandatory field. User can enter the penalty amount that the company paid when the task was not completed within due date. The total penalty amount will be reflected in the KPI bar too.

4.2.3.5  Compliance Amount: This is an optional field and is so designed to allow users to enter the amount of the compliance that is being completed if applicable. Users will be able to generate smart reports with the compliance costs incurred if this field is used.

4.2.3.6  Upload Document: The Upload document function allows users to upload the relevant compliance document such as a tax return and all its supporting documents, etc. at one place. This will automatically get stored in ComplyGlobal’s Virtual Compliance Room (VCR) under a standardized folder structure which can be retrieved easily anytime.

4.2.4   Different folders and areas of Task page explained:

4.2.4.1  Government Form: The form pertaining to the task is displayed here. Download the form to view.

4.2.4.2  Folders: All the forms and documents uploaded are stored here in the Virtual Compliance Room.

4.2.4.2.1     Collaborate: A explained in section 4.4

4.2.4.2.2     Open: Open the VCR folder to view the files.

4.2.4.3  Reference Documents: Any supplementary documents pertaining to the task are displayed here.

4.2.4.4  Reference Links: Official or government website links are displayed here for reference.

4.2.4.5  Help Text: Additional help in completion of the task is displayed here.

4.2.4.6  Information: Additional information, supplementary to the task is displayed here.

4.2.4.7  Statute Reference: Exact reference of the corresponding Act or Law is displayed here.

4.2.4.8  History: Any Past reference or linkages to the task is displayed here.

4.2.4.9  Comments: User can mention his name, date and add any comments about the task here. Click ‘Submit’ to post the comment.

4.3   Task Status

4.3.1   Different colour codes are assigned to indicate level of progress in completion/non-completion of tasks.

4.3.1.1  Completed tasks: Tasks are completed before the due date

4.3.1.2  Custom completed tasks: *Custom tasks are completed before the due date

4.3.1.3  In-progress: Tasks are in the process of completion

4.3.1.4  Custom In-progress: *Custom tasks are in the process of completion

4.3.1.5  Due (open): Tasks are pending and need to be completed within due date

4.3.1.6  Custom Due (open): *Custom tasks are pending and need to be completed within due date

4.3.1.7  Delayed (overdue): Tasks are delayed beyond the due date of completion

4.3.1.8  Custom delayed (overdue): *Custom tasks are delayed beyond the due date of completion

4.3.1.9  Not applicable tasks: Tasks are not applicable at this point in time

4.3.1.10   Custom not applicable tasks: *Custom tasks are not applicable at this point in time

4.3.1.11   Deprecated tasks: Tasks that were NOT in ‘Open’ status and are no longer applicable because of a change made to the questionnaire using the edit or override function.

NOTE: Tasks that were in ‘Open’ status” and are not applicable anymore will be removed from the calendar.

4.3.1.12   Workflow Tasks: Tasks have been assigned to a workflow

.