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Integrin compliance platform

Integrin Cases and Obligations

The compliance work a business must do, and the requirements behind it

Returns, audits and other compliance work run as cases, each with its steps, documents, approvals and deadline. The obligations register holds every requirement the business has to meet, each with an owner and a review date.

A compliance team has to get recurring and one-off work done on time and show how it was done, and it has to show which requirements apply to the business and who is responsible for each. Integrin runs the work in cases and holds the requirements in the obligations register, for one company or a group of companies.

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Cases and obligations in Integrin

  1. Cases
  2. Documents and checks
  3. Approvals
  4. Timeliness and outcome
  5. Obligations
  6. Evaluations

Returns and audits run as cases

A return has to be filed for each period by its deadline, and a tax audit has to be seen through to the end.

Each is a case: one record with its party, period, owner, deadline and next deadline. A case schedule creates each period's case for each company when the period opens, with its steps and tasks in place. Other cases are opened by hand.

Steps, documents and checks

The work has to be done in order, with the right documents, and checked before it goes out.

Each case type has its own steps, who does each one and how many days before the deadline each must be finished. Documents are filed in folders on the case, and people outside the company see only the folders their step opens to them. A case also lists the records for its party and period, with the result of their checks.

A tax audit at sign-off: the findings received and the response drafted, the partner has approved and the client's approval is waiting. Click to enlarge.
A tax audit's steps: findings received and the response drafted, then sign-off with the partner's approval given and the client's approval waiting, before the response is submitted
A tax audit at sign-off: the findings received and the response drafted, the partner has approved and the client's approval is waiting.

Approvals and comments

Sign-off often needs more than one person, and the discussion behind the work has to be kept.

A step can need several approvals given side by side, such as the partner's and the client's. Comments are kept in the case history, and a colleague mentioned in one is notified by email. Each person's own open cases are on their Home page.

Timeliness and outcome

A manager needs to see which work is behind and where a problem was found, for each company and for a group as a whole.

Each case shows its timeliness, On track, At risk or Late, and its outcome, Compliant, Issues found or Not checked, calculated from its steps, deadlines and checks.

For a group, both roll up from each company to the group that owns it, and a user clicks down from the group to the company, the case and the step that is behind.

The top of the Case Dashboard. Each figure opens the cases behind it. Click to enlarge.
The top of the Case Dashboard: open, late, at risk, issues found, due this week and closed this year
The top of the Case Dashboard. Each figure opens the cases behind it.

The obligations register

A business must be able to show which legal and other requirements apply to it, where each comes from and who is responsible for it.

The register holds each requirement in any area: quality, environment, health and safety, packaging, CBAM or customs. Each has its sources, why it applies or why it does not, an owner and a review frequency, and can name the record or party it applies to.

Evaluations and evidence

ISO 14001 and ISO 45001 require compliance to be evaluated, and the evaluation and the evidence behind it to be kept.

Each evaluation of compliance is kept as its own row, with its result, who made it and the evidence. A second person approves the review, and a CAPA can be raised where the obligation is not met.

An obligation in the register: why it applies, how often it is reviewed and when the next review is due. Click to enlarge.
A compliance obligation with why it applies, its review interval and its next review date
An obligation in the register: why it applies, how often it is reviewed and when the next review is due.

Review, licence and return dates

Reviews, licence and permit renewals and returns each fall due on their own date.

Integrin tracks the next review date, the licence or permit expiry and the next return or report due on each obligation, and raises a task to the owner as each comes due.

Contractors' reports summarised

Evidence often arrives as a monitoring, test or inspection report from a contractor.

From an attached report, Integrin proposes a summary, the evaluation of compliance and the findings, each with the page it came from and a proposed CAPA or request. A person accepts or dismisses each one.

Cases and obligations are part of the Integrin platform

Integrin also covers CBAM in the EU and the UK, Irish customs, ISO 9001, 14001 and 45001, PPWR and EUDR. It's built for companies running their own compliance, and for brokers and consultancies managing it for their clients. How the platform works →

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