Summary

Compliance Management provides confidence your vehicles and drivers licenses are current and alerts in a timely manner of actions that are required.

Drivers cannot be assigned to drive vehicles that they are not licensed for and are blocked from doing runs if their license expires

Renewal Alerts are on system and also sent as email and sms to users

Core Concepts

Vehicle Depot

A Vehicle Depot is a Warehouse that has the flag “Is Vehicle Depot”

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On System Automatically Generated Messages

Messages are sent every morning 7.30am

• to one person (recipient)

• cc to many persons.

This includes On system messages, emails, and sms to any email recipient

Marking Messages as READ

On system Messages must be marked as READ by the Main Recipient (See table).

• CC recipients may mark as read to remove from their alert list

All on system Messages archive if the license is renewed

Where to see on system messages

Portal users

• Will get a screen splash on login of all messages not yet marked READ and require a two step acknowledgement completed to mark READ

  • Tick the message is understood

  • Button to Acknowledge receipt of the message

  • Can easily navigate to see their current list

WPF users

• Will get a screen splash on every login of all messages not yet marked READ

  • Can easily navigate to see their current list

  • Can Right click to

    • Open the related record (Person, Asset, Company)

    • Record an action for a message

      • Persons and Companies creates interaction history

      • Assets creates interaction history on the TO record in the message (person or company)

  • Can archive / unarchive messages

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Message triggers

Approaching Expiry (up to 2 settings)

• can enter up to 2 “number of days before” settings

  1. eg: 90, 60 days

  2. eg: 30, 15 days

Imminent Expiry

1. 7 days prior AND every day until expired

2. every day for 7 days prior

Who gets the messages Table

Messages are sent for expiring Licenses, Certificates and SOP’s

People on holiday can assign a recipient during their leave

Escalations are NOT sent each of the last 7 days - so the last escalation is 8 days before expiry.

• Escalation messages send a copy of the message with additional text added at the top that “This is an escalation that was sent [person] has not been READ

• Example with no action - company sets 60day, 30 day expiry warnings.

  • A message is sent to a “Main Recipient” 60 days prior to expiry,

  • at 31 days they have not marked the message as READ so an escalation is sent

  • at 30 days another message is sent

  • At 8 days they have not marked the message as READ so an escalation is sent

  • Messages are then sent 7, 6, 5, 4, 3, 2, 1 days - no escalations are sent if not read during this period

    • Attachment to be sent at that time with all future affected runs

  • The license then expires and all messages are archived

Testing Compliance Messages in Test

Expand here to view a test method you can use

Escalations and Compliance Managers

See above table - here is the employee flag

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Non- Statutory Certifications and SOP’s

Certifications may be trained and awarded by Training Providers.

Standard Operating Procedures may require refresh training and have expiry dates

Can create and manage all these also on system with the same alerts - only certifications with expiry dates will create expiry related messages Radek

Statutory Certifications

• Are Government granted licenses

• can be linked to persons, assets, companies and Host Companies and have associated expiry dates

Vehicle Runs and Drivers

Assigning Drivers to Runs

Drivers CANNOT be added to a run if they do not have the required certifications

• Vehicles have a profile

  • Profiles are linked to multiple vehicles

    • Profiles include the license required

    • note clear cache on the profile screen if you change the profile

• Drivers have licenses

  • Drivers license is compared to license required in order to save a run

• Vehicle runs that include passengers require a current “Public Vehicle Authority” on the driver

License Suspensions

When a drivers license is suspended - they are removed from all runs and a list of the affected runs will be provided

Report of expiring Drivers Licenses in next 7 days that also have runs outside the expiry date Radek

Important to alert where a driver

1. Is booked as a driver on a Run that is less than 7 days away

2. AND has either an expiring license before the date of the run

3. OR no appropriate license

On system popup grid showing on Drivers Roster

• Note no change to drivers portal view of roster

• Only shows bottom grid if data found

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Email alert sent every day this condition is found

Email to be sent to appropriate users based on secure features

• Any HR items sent to the HR Secure Feature

• Any Asset items sent to the Asset Secure Feature

Email contents to be

• example grid for persons as above

• Additional grid for vehicles

  • Vehicle, Rego, Certificate, expiry date, Affected Runs date, Affected run #, Affected Run Name

Report of expiring Vehicle Licenses in next 7 days that also have runs outside the expiry date

Important to alert where a Vehicle

1. Is booked as a Vehicle on a Run that is less than 7 days away

2. AND has an expiring Vehicle License before the date of the run

Global view of Current System Messages for License Compliance

Intended as a global view of all current on system messages for any expiring licenses

Shows latest not archived message for any expiring certificate - right click to view person

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Message Status

1. Not read = screen will splash open on login

2. Right click each message individually to:

   1. Open Person Screen

   2. Record Action Taken - creates interaction history for later reporting

   3. Mark as read = still on dashboard but no longer for splash on login

   4. Archive = drop from active list

      1. Unarchive any message still requiring action

Licenses and Statutory Certifications

A license or statutory certification is normally defined by a government entity and hence you cannot add to this list.

Licenses and Certifications are linked to:

• persons eg: a driver

• Assets eg: a truck or bus

• Companies eg: Motor Vehicle Repairer

Licenses and Certifications can be renewed:

1. For example a driver license level changes due to failure of an eye test.

   1. Create a new one with the new license level

      1. the license being replaced will be Expired

   2. Save currently flicks to General Page - it should not

License Required to Operate a Vehicle

Each Vehicle is linked to a Profile - the Profile holds the license required for that vehicle

• Fleets use one profile linked to many vehicles

The appropriate license to operate the vehicle is on the Profile

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License on a person

A person with a license

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Person is not duplicated

A person may wear many hats in the system without duplicating their person card

• Employee

• Customer

• Supplier

• A contact at a customer

• A contact at a supplier

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License Approval process

Note approval is only possible once documents have been attached

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License Renewal

To renew a license click the renew button > creates a copy of existing selected license with no dates

• Enter new days > check license subtype correct (it may change) > save (license will be PENDING)

• Attach associated documentation (required to make active)

• Tick APPROVED (note only users with secure feature “Can Approve Certificates” can tick this box)

  • Expires any overlapping license (regardless of subtype) - and regardless of status

  • Archives any remaining system messages related to the expired license for all users radek

License Expiry

• Dropdown beside green triangle - Terminate this license now

  • Terminate

    • only users with secure feature “Can Approve Certificates”)

License Suspension

Dropdown beside green triangle - Suspend this license now

• Suspension

• only users with secure feature “Can Approve Certificates”)

• + add audit trail of change. Note Suspensions are normally immediate.

  • Suspension of license button to

    • ASKU “are you sure as this will affect 12 future Runs” - if yes

      • trigger system messages

        • to certificate owner

        • To compliance manager

        • To any person with secure feature “Fleet Administrators”

        • Data to include for every affected run : Date, start time / end time, destination, vehicle, PAX of bookings

      • AND remove license holder from any runs assigned

      • And show yellow sticky note with a list of all runs affected

    • Driver no longer able to be assigned to runs

Removal of suspension

• only users with secure feature “Can Approve Certificates”)

  • No system messages required

Audit report on individual licenses

Person - list licenses (note can show expired)

Right click on any license > show Audit Report Radek to build report described here

• Example below for a license type on a person

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Drivers Portal License Update

Drivers to have ability to upload / start renewal of their existing licences

1. Drivers to have a list view of their current licenses and SOP’s

   1. Existing License to have a “Renew” button

      1. Ensure only one renewal can be current for any license

   2. Drivers can take photo of their license (one for front and one for back) and upload them to the system

   3. Appropriate person to get an alert email to approve the change

Runs and Run Planning

Assigning Drivers to Runs and appropriate licenses

Drivers CANNOT be assigned to a run where

• The vehicle has a license requirement AND

• The driver does not have the required license OK on the date/s of the run

  • Tours > Tour Run > driver dropdown does not populate until vehicle decided, driver dropdown only shows appropriately licensed drivers

  • Tours > Tour Planner > Assign bookings to vehicles > Right click on vehicle > assign Driver > List only includes appropriately licensed drivers AND list of suspended drivers with “Suspended” appended who are not able to be selected.

  • Note NSW licenses have a hierarchy to be respected https://www.nsw.gov.au/driving-boating-and-transport/driver-and-rider-licences/licence-classes-and-conditions/classes so a person with HC can drive a HR required vehicle - see below

    • MC includes HC

    • HC includes HR

    • HR includes MR

    • MR includes LR

    • LR includes C

    • R (motorcycle) is not covered by any of the others.

Changing Vehicles on Runs to check driver has sufficient license

• Vehicle already assigned to run > check license compliance of driver on run > disallow if license not sufficient

Training and SOP’s (Standard Operating Procedures)

Tracking of user defined training and certifications is also possible with the associated notifications.

Define the certification, SOP or training details including prerequisites required and which organisations are approved to provide the training

This is a central capability to define for

• people - eg fire safety building 5

• assets - eg Wheelchair compatible inspection

• companies - eg WBA agreement

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Then enter on the person (or asset or company)

Training and SOP on a person

Can update SOP and general training on a person

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Assets

License to drive an Asset

Every Asset has a profile

• Vehicle Asset profiles have drivers license requirement

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Asset Licenses

Assets may also have licenses that need to be kept current

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Company

License on a Company

• Note a company can be an Host Company, Customer or Supplier

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Dashboard of Future Expiry Dates

The dashboard shows future expiry of Licenses, certificates, SOP’s and Training

There is a dashboard view of overall requirements where any date range can be used to review expiry dates - for example checking that the xmas / new year period will not be disrupted.

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Note - button “Invoke daemon now” is for testing purposes in test

Email Templates

Email Template enables each company to define their own messages

Compliance Managers are copied on the email

Email Template Merge Fields

The email template merge fields use the following format with “Certificate.” added to the front of the merge fields

• [Certificates.CertificateType]

• [Certificates.CertificateSubType]

• Certificates.Valid.To]

This is the test merge fields showing: Add Certificate. to the front of them.

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Identifying the correct email to send for each certificate type

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SMS sent to the certificate holder