ComplyALIGN policy management system addresses and automates a critical component of an effective policy management program – verification of employees’ understanding of content of the documents.


The main elements of attestation and certification are covered by ComplyALIGN policy management software built-in functionality include:

  • Notification of read requests (one time or periodic)
  • Read acknowledgement recording
  • Content comprehension quizzes with auto-scoring
  • Policy read/view logging


Document Read Acknowledgements


The system can be configured to automatically generate read acknowledgement requests to selected audiences for each document. Once configured, the read request notifications are emailed (both on demand and periodically) and displayed in the system reminder area.

Upon review of a policy the system records the name of the employee and the date/time of policy read by an employee.


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Document Read Attestation Reminders and Notifications


In addition to notifications, the system has several mechanisms in place to address unresponsive employees:


  • Reading a document or taking a quiz will appear as an important reminder that is displayed in the reminder area of the system. 
  • The reminders remain until the employee acts or the attestation request is cancelled.
  • Document notification summary emails are commonly configured to email the employees with the list of their specific reminders on a set configurable schedule such as weekdays or on specific days.
  • The control panel of the document management system lists all documents pending read acknowledgement as well as all document pending attestation via quiz.
  • Designated users have the ability to send out “Poke” notifications via email that tell the employee to read or attest to a specific document.
  • Various reports and screens are provided that indicate the status of read acknowledgment and quiz attestation requests to aid management in disciplinary or punitive efforts.

Policy Comprehension Quizzes


Independently of read acknowledgement handling, the system includes the ability to configure quizzes to allow testing employees’ or associates’ comprehension and understanding of policies.

Designated users can configure quizzes and tests of various levels of sophistication that test and automatically score user’s understanding of a document.

Quiz result notifications are automatically emailed to your designated compliance administrators or can be reported in ComplyALIGN’s reporting module.

Policy Attestation Status Reporting


On screen and printable reports and dashboards are available to designated users to provide oversight of the read acknowledgement and quiz completion status across the entire organization or by a specific document or employee.


Document Access and View Logs

 All document views and automated are automatically recorded and detailed access reports are available to system superusers.