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Compliance Management System

Software for Compliance Management

There are numerous organizational challenges for managers and all employees when dealing with compliance-relevant digital data:
​​​​​​​ Compliance of all processes and actions within the organization must be ensured

 Clear definition of the organizational model, processes, completeness of contract-relevant data and information, roles and responsibilities

 Provide integrated information technologies for audit-proof and structured storage, evaluation of business-critical information

 Ensure traceability of data and processes (audit trail)

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Objectives in Compliance Management

With a compliance management system (CMS for short), an organization aims to promote compliance with laws and guidelines and avoid misconduct. The primary goal of compliance is to represent the organization with integrity and integrity in the market. To this end, measures must be defined and implemented.  The following objectives can be targeted with a compliance management system:
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Risk Minimization
Avoidance of security breaches, less negative reporting, avoidance of liability, more transparency in processes and for the internal control system (ICS)
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Increased Efficiency
Central administration, fast data access, optimization of existing control mechanisms, higher productivity, integrated risk management
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Increased Effectiveness
Automation of control mechanisms, saving of administrative effort and time, well-founded, transparent decisions, audit capability through completeness

Digital Compliance Management System

Digital compliance management system

A digital compliance management system to ensure compliance in critical business processes and support compliance work again creates the necessary freedom to actively shape a compliance culture.

This is precisely where Best Practice Compliance Excellence comes in. This means the operative and sustainable support of employees in all compliance-relevant and critical business processes. Employees in legal, purchasing, sales, finance, HR, etc. are supported in their tasks through the use of compliant business processes according to the latest BPMN 2.0 standards and the provision of up-to-date compliance knowledge. This applies in particular to international groups and their effective integration and control of employees in subsidiaries at home and abroad.

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Figure 1: TQG businessApp platform® for compliance (here an example of an employee dashboard)

With Compliance Excellence as a best practice package, The Quality Group offers the ideal tool for sustainable and effective organisation, structuring, documentation and implementation of a compliance management system. Compliance Excellence represents a comprehensive framework and is a modular, separately licensable component of the TQG businessApp platform®.

The outstanding feature of the TQG businessApp platform® is the elegant combination of - structured data - documents - business processes - analysis/reporting in one product. The perfect symbiosis of structured information in digital files (knowledge, content, documents and risk-related business processes (BPM). This is complemented by integrated resubmission/ deadline management, training organisation, risk management and analysis/reporting functions. Further strengths of all modules of the TQG businessApp platform® are outstanding ease of use and company-specific configurability.

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Application areas of compliance management software

Compliance Organisation

  • Project documentation for the introduction of the Compliance Management System
  • Versioned document management (guidelines, training documents, audit reports, etc.)
  • Case management (incident documentation, fact collection, measures)
  • Resubmissions/deadline management for audits, deadlines
  • Compliance monitoring
  • Audit planning and documentation (checklists, final, quarterly and annual reporting)
  • Workflow/process support within the compliance organization
  • Knowledge management process-supported (knowledge file, case studies, FAQ, legal integration)
  • Training management (planning, content, participant verification, testing)
  • Micro-learning (cyclical distribution of case studies with feedback, feedback measurement, learning curve)
  • Employee survey on compliance culture
  • Reporting/analysis (evidence, reporting, learning curve)

Legal /Procurement / Sales

  • Support/assurance of compliance in the contract lifecycle starting with business partner due diligence, contract preparation and contract management (compliance clauses, checklists, compliance rules, training, making examples available in the process)
  • Provision of compliance compliant boiler plates or templates
  • Documentation proof of real contract processes and decisions
  • Ensuring compliance in the supply chain (automated mailing of business partner commitment to compliance with monitoring of response)
  • Planning and documentation of supplier audits
  • Reporting/analysis "Compliance Radar" on suppliers


Human Resources

  • Documentation of all personnel-related documents in a personnel file (application, employment contract incl. compliance obligation, bonus agreements, performance documentation, training record)
  • Personnel file for personnel documents (employment contract incl. compliance attachment, application, etc.)
  • Workflow support for recruiting process, onboarding, transfer of use and job changes
  • Resubmission/deadline management for cyclical compliance training, performance review, etc.

Areas of Application for Compliance Management Software

Compliance plays an important role in many areas and departments of your organization. smartLCM Compliance Excellence takes into account the various special features and supports specific requirements.

​​​​​​​ Here are some areas of application:
Procurement / Sales
Human Resources
These areas of application are not exhaustive, as compliance is of great importance in many departments. Organizations must ensure that they comply with the relevant laws and regulations in all areas in order to minimize legal, financial and reputational risks.

Compliance Excellence - The Compliance Management System

Overview of the functions of our compliance software "Compliance Excellence"

  • Compliance organization (CMS project record, training record, audit record, etc.)
  • Compliance Case Management (Compliance record)
  • Workflow management/business process support/approval processes
  • Follow-up and time management (training, risk analysis, ...)
  • Templates/template management for global, country-specific standardization
  • Self-service document/contract builder (compliance secured document/contract preparation)
  • Search function (filter, structured search, full text search, fuzzy search)
  • Reporting/analysis (training certificates, Who? When? What? By whom? How long?)
  • Knowledge management (FAQs, case studies)
  • Micro-learning (regular distribution of case studies with feedback function)
  • Communication functions for surveys or feedback
  • Authorization and security
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Figure 2: TQG businessApp platform® for Compliance (here exemplary the dashboard Compliance Manager)

smart LCM Compliance Excellence -  The Compliance Management System

The functions at a glance

Integration of individual, complex workflows,
business process support, approval processes

Resubmissions, deadline management
(training, risk analysis, etc.)

CMS project file, audit file, compliance
case management and much more.

Regular distribution of case studies with feedback queries

Template/template management for global,
country-specific standardization

Self-service, document/contract builder
(compliance-secured document/contract creation)

Search function (Fildert, structured search,
full-text search, fuzzy search)

Reporting/analysis (training certificates, who?,
when?, what?, by whom?, how long?)

FAQ, case studies

Automatically detect, categorize and optimize compliance using artificial intelligenc

Communication functions for surveys and feedback

Authorization and access protection

Compliance Expertinnen und Experten

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