Compliance Documentation Centralization in SharePoint 2010

A **simple**, **easily administered** central store (via **SharePoint 2010**) for all of our company's compliance, law change, and legal settlement documentation and the ability to associate it with P&Ps, letter changes, scheduled audit commitments, and remediation documentation. Some custom development may be necessary, but the ideal set up would be a few SharePoint lists, document stores, and InfoPath forms which could be easily implemented into our existing SharePoint setup (via template?) ## Deliverables **Simplicity and Self-Administerable:** The biggest part of this project is it should be simple and as native as possible to SharePoint. I want to hand this off to our Compliance department and allow them to manage permissions and add new fields as they desire without IT intervention. **Tracking Spreadsheet [login to view URL]:** The attached **ZIP** file contains an **XLSX **file which contains fields and sample data types that for each type of record (Letter, P&P, Regulatory, Audits, Law Change tabs) we want to track. **Scope Items:** | **ID** | **Scope Item** | **Description** | | ------ | -------------------------- | ---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | | 1 | Centralized List | Summary Description - As the compliance and legal departments, I want to centrally store all of the compliance, law change, and legal settlement documentation and associate it with P&Ps, letter changes, scheduled audit commitments, and remediation documentation. Existing Functionality / Process - All documents are currently stored on the S: drive, emails, or log books. A lot of information about commitments isn't documented at all | | 2 | Index/Search | Summary Description - As the compliance and legal departments, I want to be able to find an record based on its committed P&P section, letter code, document date, audit number, status, expiration date, origin (state, auditor, etc.) or other data the is entered. I would search for a P&P section or letter code before changing them to make sure none of my changes will cause the company to no longer be compliant with a settlement, commitment, or law. Existing Functionality / Process - None | | 3 | Document Store | Summary Description - As the compliance department, I want to move all of the compliance documentation that is stored on the S: drive and allow access to the business units by linking them to items entered into the centralized documentation list. Existing Functionality / Process - None | | 4 | Input Screen | Summary Description - As the compliance and legal departments, I want to be able to enter the data into an easy to use screen that shows fields that are relevant to the type of record item being entered. Existing Functionality / Process - None | | 5 | Open items tracker/manager | Summary Description - As the compliance department, I want to be able to see all commitments that a business unit or the company as a whole is responsible for in the coming weeks so I can check up on them. Existing Functionality / Process - None | | 6 | Business Reports | Summary Description - As a business unit, I want to be able to see all commitments and open audits that I am responsible for. Existing Functionality / Process - None | | 7 | Permissions | Summary Description - As the compliance and legal departments, I want to be able to enter in and modify the items. Read-only permission would be granted to all others who need access, such as VPs. Existing Functionality / Process - None | | 8 | Customizable Fields | Summary Description - As the compliance and legal departments, I want to be able to add and search on additional fields as needed. Preferably, administration could be done by one or more people within our departments. Existing Functionality / Process - None | | 9 | Private Documents | Summary Description - As the compliance and legal departments, I want to be able to store sensitive data and only allow access to specific people. Existing Functionality / Process - None | | 10 | Calendarized Tasks | Summary Description - As the compliance department, I want to have a calendar where I can keep track of due dates and schedule regular audits. Existing Functionality / Process - None |