Compliance  Tracking

Challenge: Keeping Track of Individuals’ Certifications

Compliance tracking is a pervasive issue for organizations, ranging from state ethics training, professional certifications, the acknowledgement of codes of conduct, asset usage confirmations, and confidentiality statements. While the responsibility for compliance enforcement may not be in the purview of your organization, management of the proofs of certification may be.
It can be difficult to identify individuals that have upcoming expirations or who have fallen out of compliance. Many organizations have a proliferation of spreadsheets, e-mails and paper documents in files to “manage” submitted proofs. Much time can be spent manually tracking and filing documents, as well as duplicate data entry into spreadsheets and lists to track who has and has not submitted information. Documents and e-mails can be lost or misplaced and lists can become out-of-date or incomplete. And pro-active notification of individuals regarding upcoming expirations takes substantial effort.

Compliance tracking becomes critical when confirmation of an individual or organizations status is in question and needs to be proven. These requests can send a department into a frenzy to research and compile proof of compliance.

Solution: Automate Compliance Tracking with Laserfiche

Increasing the efficiency and transparency of the Compliance Tracking process can save time across multiple departments and greatly improve the likelihood of full compliance with organizational, local and state regulations.

The automation of the Compliance Tracking process using Laserfiche Forms and Workflow enables compliance documents to be captured in a single place with template information for easier searching and tracking. This allows for easy review of compliance across departments for individuals and groups. It standardizes the submission, ensures data integrity and eliminates administrative data entry to track submitted documents.


Benefits of Automating Compliance Tracking

  • •    Reduced administrative time tracking individual compliance documents.
    •    Increased transparency to individual and group overall compliance.
    •    No “lost” certificates or other compliance documents.
    •    All compliance documents submitted through the online form automatically become a part of Laserfiche, organized by individual and compliance type.

  • •    Compliance form submittal is available online, enabling individuals to submit certificates anywhere.
    •    Reduced paper usage and storage space needed to maintain paper process.
    •    Reduction of physical efforts to move files around.
    •    All certifications/compliance documents are available for retrieval real-time, ensuring the most up-to-date compliance information

The Onboarding Process


Admin Reporting



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