Compliance Report - Track Regulatory Requirements and Audits

Overview

Compliance Reports help you track regulatory requirements, inspections, certifications, and audit readiness for assets. By monitoring document expiration dates, maintenance compliance, and inspection schedules, you ensure your organization meets legal and industry standards.

UniAsset tracks compliance through document expiration monitoring, preventive maintenance schedules, and maintenance logging.

Who Can Access This

View Compliance Data:

• Owner
• Admin
• Manager

Generate Compliance Reports:

• Owner
• Admin
• Manager

Export Compliance Reports:

• Owner
• Admin

How to Access This Section

Compliance Dashboard

1. Go to Reports in the sidebar
2. Click the Compliance tab
3. View compliance summary:
   • Overdue maintenance count
   • Due soon maintenance count
   • Expired documents count
   • Expiring soon documents count

Document Expiration Tracking

1. Go to Reports > Compliance tab
2. View:
   • Expired Documents - Already expired certifications/warranties
   • Expiring Soon - Documents expiring in next 30 days
3. Click asset links to review or update documents

Maintenance Compliance

1. Go to Reports > Compliance tab
2. View:
   • Overdue Maintenance - Past due scheduled maintenance
   • Due Soon - Maintenance due in next 7 days
3. Click assets to log completion

Configuration / Page Breakdown

Compliance Metrics in UniAsset

Document Compliance

• Tracks expiration dates for uploaded documents
• Common documents: warranties, certifications, licenses, permits
• Alerts 30 days before expiration
• Shows expired and expiring-soon documents

Maintenance Compliance

• Tracks preventive maintenance schedules
• Shows overdue and due-soon maintenance
• Based on maintenance rules (time-based or usage-based)
• Alerts sent 7 days before due date

Inspection Compliance

• Logged as maintenance records (type: Inspection)
• Track inspection dates, results, and costs
• Schedule recurring inspections via preventive maintenance rules

Compliance Report Structure

Summary Cards:

• Overdue Maintenance - Red alert
• Due Soon Maintenance - Yellow warning
• Expired Documents - Red alert
• Expiring Soon Documents - Yellow warning

Detailed Tables:

• Assets with Overdue Maintenance
  • Asset name (linked)
  • Maintenance type
  • Due date
  • Days overdue
• Assets with Maintenance Due Soon
  • Asset name (linked)
  • Maintenance type
  • Due date
  • Days until due
• Assets with Expired Documents
  • Asset name (linked)
  • Document name
  • Expiration date
  • Days expired
• Assets with Expiring Documents
  • Asset name (linked)
  • Document name
  • Expiration date
  • Days until expiration

Common Use Cases

Preparing for Regulatory Audit

You have an upcoming inspection and need proof of compliance.

Steps:

1. Go to Reports > Compliance
2. Check for:
   • Expired documents (renew immediately)
   • Overdue maintenance (complete and log)
3. For each non-compliant asset:
   • Update documents
   • Log completed maintenance
   • Add notes explaining delays
4. Export compliance report as proof
5. Review Event History to show audit trail

Monthly Compliance Review

You review compliance status at the start of each month.

Steps:

1. Go to Reports > Compliance
2. Check summary numbers
3. If overdue maintenance exists:
   • Assign work orders to technicians
   • Set deadlines for completion
4. If documents are expiring:
   • Contact vendors for renewals
   • Upload new certificates when received
5. Track progress throughout the month

Managing Safety Certifications

You manage equipment that requires annual safety inspections.

Steps:

1. Set up preventive maintenance rules:
   • Type: Inspection
   • Frequency: Every 365 days
   • Description: "Annual safety inspection"
2. When inspections are due:
   • Schedule inspector visit
   • Perform inspection
   • Log as maintenance record with status: Completed
3. Upload inspection certificate as document
4. Set document expiration date = next inspection due

Warranty Management

You track warranties to ensure repairs are covered.

Steps:

1. When purchasing assets:
   • Upload warranty document
   • Set expiration date
2. When repairs are needed:
   • Check Reports > Compliance > Expiring Soon
   • Verify warranty status before repair
3. If warranty expired:
   • Document as expired in system
   • Proceed with paid repair
4. Archive expired warranty documents

Best Practices

Upload all compliance documents

• Warranties, licenses, permits, certifications
• Even if not required, helpful for audits
• Set expiration dates when uploading

Set realistic maintenance schedules

• Don't over-schedule preventive maintenance
• Align with manufacturer recommendations
• Adjust frequencies based on actual usage

Review compliance weekly

• Check Reports > Compliance every Monday
• Address overdue items immediately
• Plan for due-soon items

Document everything

• Log all inspections as maintenance records
• Add notes explaining non-compliance
• Upload supporting documents

Use alerts proactively

• Enable email notifications for overdue maintenance
• Set calendar reminders for document renewals
• Don't wait for audits to check compliance

Archive completed compliance records

• Keep historical compliance data
• Don't delete old inspection records
• Useful for proving compliance history

Important Notes & Limitations

Compliance tracking requires document uploads

• UniAsset doesn't know about documents not uploaded
• You must manually upload and set expiration dates
• Missing documents = compliance blind spots

Maintenance schedules must be configured

• Preventive maintenance rules must be set up
• UniAsset doesn't auto-generate compliance schedules
• Configure rules based on your regulatory requirements

Alerts are sent but not enforced

• UniAsset alerts you to overdue items
• It doesn't prevent asset use or force compliance
• Enforcement is your responsibility

Employee role has limited compliance access

• Employees see only assigned assets
• Compliance reports require Manager role or above

No automatic regulatory rule database

• UniAsset doesn't know your industry's regulations
• You configure compliance requirements yourself
• Based on your country, industry, and specific regulations

Document expiration is calendar-based only

• No usage-based document expiration
• Based on specific dates, not hours/cycles

Frequently Asked Questions

Does UniAsset know my industry's compliance requirements?

No. UniAsset provides tools to track compliance, but you define the requirements. Set up maintenance rules and document tracking based on your industry regulations (OSHA, FDA, ISO, etc.).

How do I prove compliance during an audit?

Export compliance reports showing no overdue maintenance or expired documents. Provide Event History for specific assets to show audit trails. Attach uploaded compliance documents (certificates, licenses).

What if I miss a scheduled inspection?

The inspection shows as overdue in Reports > Compliance. Schedule it immediately, perform the inspection, and log as completed maintenance. Add notes explaining the delay.

Can I set up custom compliance categories?

Yes, through custom maintenance types and document categories. Create maintenance rules for industry-specific requirements (e.g., "HVAC Refrigerant Leak Test - Annual").

How do I track calibration certificates?

Upload calibration certificates as documents with expiration dates. Set up preventive maintenance rules for recalibration schedules. Log calibrations as Inspection-type maintenance.

What happens when a document expires?

It appears in the "Expired Documents" section of the Compliance Report. You receive email alerts if enabled. The asset remains usable—you must decide whether to restrict use based on your policies.