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The following are a series of Frequently Asked Questions (FAQs) that can assist in your understanding of the Compliancy solution.  If you have additional questions please contact Compliancy by either emailing or calling us:





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For more information contact us at or call +1-919-806-4343.



Frequently Asked Questions (FAQs)

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1. What is Compliancy Internal Control Management (ICM)?


Compliancy's Internal Control Management (ICM) software is a single application that is BPM-based for automating any business process with built-in compliance controls to ensure results.  


Companies have the flexibility to start automating any business process and then expand as needed to address any risk management requirements, any regulatory compliance requirements such as Sarbanes-Oxley, and any general business operations such as financial processes.


Compliancy's ICM solution provides the easiest, most comprehensive, and cost effective solution within a single integrated system.


It is Business Process Management (BPM) ensuring your future investment for expansion, adding new compliance requirements, and integrating with your business processes.  


With ICM you can start automating your compliance requirements and expand to your general business processes to more effectively streamline your business processes, reduce your costs and improve your decision making.



2. How will Compliancy improve control?


Unlike other automation solutions, Compliancy has built-in regulatory level control processes and structures to ensure that your business processes are being adhered to within the company whether it is for regulatory compliance or general business operations.  


This includes complete automation of all control processes, real-time continuous control monitoring, segregation of duties,security authorization, automated testing/auditing, certifications, evidence tracking, control documentation and associated control document management, issues identification and remediation, and real-time management oversight and on-demand reporting.


In addition, since it is BPM-based, Compliancy can integrate all your ERM, compliance and general business operation processes as a single system with a single management view that reduces redundancies and reduces the cost of implementation, training and support.  



3. How does Compliancy help maintain Sarbanes-Oxley compliance?


SOX compliance does not go away.  It requires annual compliance and even requires activities throughout the year.  Compliance degrades with time and must be maintained.  Most companies are looking for solutions to prevent an annual SOX crisis.


Compliancy ICM is that solution. It automates and manages control for continual SOX compliance so audits are much less costly and stressful allowing companies to return to their core business.


4. What is control automation?


Compliancy automates internal control processes and the relationships between issues and remediation.  This means that processes with complete control documentation, document change management, and communications can be automated through segregation duties, scheduling, certification, alerts, reporting and real-time dashboard monitoring.   Some examples include:

  • Control processes at the Entity/Enterprise level
  • Control processes at the process/department level.
  • Integrate control points in business processes at the transaction level.
  • Policy and procedure vetting
  • Automated audit preparation
  • Issues management
  • Integrated business processes  


5. Does Compliancy replace external auditing activities?


No. Compliancy is focused on internal control. Your current level of external auditing services are still required.   It will, however provide improved confidence in your system of control as viewed by external auditors allowing audits to run smoother with cost savings since all the auditing documentation is securely and readily available.


6. Will Compliancy ICM make us SOX Compliant?


Compliancy is an automation technology and cannot "make you compliant."  It can automate your compliance processes to reduce costs and increase efficiences.  


Whether a company is "SOX compliant" is dependent on the processes and controls put in place by the company in conjuction with their internal departments and external audit and accounting firms.  


7. What technologies are used in Compliancy?


Compliancy employs .Net and Ultimus to create a robust process management architecture.  


Since most enterprises depend on a related set of business processes, the Compliancy architecture has been structured around Process Objects that can be developed, tested, implemented and updated independently, without impacting other parts of the application.  This approach provides enormous advantages in flexibility and scalability.


Compliancy is Web services enabled based on the .Net platform.  This provides an easy method to integrate with other applications and services.


On a lower level, Compliancy uses Microsoft .Net and Ultimus at its core for high volume and secure transaction processing. Compliancy makes use of Windows 2000/2003 .Net Architecture and technology for scalability, dynamic load distribution, and redundancy. 


Compliancy utilizes standards based XML Web services to enabled integration with other applications such as SAP, Seibel and Microsoft BizTalk.  


Compliancy will even talk to Microsoft Office applications or custom developed applications using Web services and XML, all without programming, scripting or macros.


Any stage within a Compliancy process can be a direct interface to another Web services or XML-enabled application.  Compliancy fully automates this and has the capability to synchronize with another application by waiting for a response to be posted or launch a process with this technique. 


Compliancy integrates with most enterprise applications for a high degree of automation and integrity. Some integration techniques and technologies include:

  • Web Services

  • XML

  • COM+

  • ASP/J2EE

  • Shared code including VB and dll's

  • Automation agents including database, MS Office, PDF, VB Script, database and more


8. What are the basic system requirements for Compliancy?


Compliancy requires a Pentium compatible system with Windows 2000 or 2003 Server or Advanced Server with IIS. It also requires either Microsoft SQL Server 2000 database.


Minimum supported hardware is 1Ghz processor and 512MB RAM for an operational system. Multiple servers can be configured for dynamic application and network load balancing and scalability.  


For more information contact us at or call +1-919-806-4343.


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