The Chloride group is now part of Emerson Network Power, however before the merger we created our corporate governance solution to allow the various divisions in the group to perform an internal audit of compliance with corporate policies. One particular feature was that any non-compliance or statement of “non applicability” was escalated up through various levels of local managers, regional managers, and divisional directors to ensure that issues were fully justified, and appropriate action plans instigated to rectify the issues within acceptable timescales.
When a user performs a survey, he is presented with a number of questions aimed to assess company compliance on minimum control standards:
Figure 1: Minimum Control Standards Survey
When a question is answered as “No”, the user is asked to select the period when they will be compliant or whether the company needs an exemption.
Figure 2: Corrective Action
When a question is answered as Not Applicable, additional questions are provided to give the reason why. These questions can be customized per question.
Figure 3: Users required to choose from a set of reasons specific to the question
If the user selects “Other Reason”, he will be asked to enter the reason why the question is not applicable:
Figure 4: Users required to provide details if reason is not among the choices provided
The questionnaire is then assigned to the user responsible for checking compliance with corporate policy. This user is sent an an email with a link to directly access the questionnaire.
The Approver will be shown additional questions to approve or deny exemptions if a new one is requested. If the approver decides that the requested exemption must be denied, he will be shown questions to indicate the reason why, and the date compliance is expected: If the Approver decides to grant the exemption, but with conditions, he will be shown an additional question to indicate the required conditions.
Figure 5: Approval Form
A number of reports are provided to all the administrator to monitor progress of the project. Here are some examples:
This report lists each company, and the current status of its survey for the given year.
Figure 6: Survey Status Summary
This report lists all answers gathered during the survey for the given year. It only lists existing answers.
Figure 7: Survey Results
This report is similar to the Survey Results report, but only lists “No” compliance answers for the given year.
Figure 8: Exemption Report