SayPro Compliance Issue Report

SayPro Templates to Use:

Compliance Issue Report: A document used to report any compliance-related issues or discrepancies found during the review process, including suggested solutions

[SayPro Compliance Issue Report Template]

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1. Report Title

• Document Title: Compliance Issue Report
• Report ID: [Insert unique identifier for this report]
• Date of Report: [Insert date]
• Report Prepared By: [Name, Position, Department]

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2. Overview of Compliance Check

• Subject/Area: Compliance Check for [Specific Tender/Bid/Proposal]
• Scope: A brief description of the scope of the review conducted, highlighting the document or process that was under scrutiny.
• Compliance Period: January [Year] (or another time frame that applies to the SCMR process)

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3. Compliance Issue Details

• Issue ID: [Unique ID]
• Type of Issue:
  • Missing Documentation
  • Non-compliance with Tender Requirements
  • Formatting Discrepancy
  • Incorrect Pricing Information
  • Eligibility Criteria Not Met
  • Other: [Specify]
• Description of Issue:
  • Provide a detailed description of the compliance issue, including what was found, where it was found, and how it deviates from the expected guidelines. Include relevant citations from the relevant documents (e.g., SayPro Marketing Royalty SCMR, SCMR-1, tender documents, etc.).
• Date Identified: [Insert date]
• Responsible Department/Office: SayPro Tenders, Bidding, Quotations, and Proposals Office under SayPro Marketing Royalty SCMR

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4. Impact Assessment

• Potential Risk: Describe the potential impact of the identified compliance issue. Does it affect the validity of the proposal, cause delays in the tendering process, or potentially lead to legal or reputational damage?
• Severity Level:
  • Low
  • Medium
  • High
  • Critical
• Effect on Timeline: [Provide estimated impact on project timelines, submission deadlines, etc.]
• Effect on Proposal Acceptance: [Discuss whether this issue could result in disqualification or a lower evaluation score]

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5. Suggested Solutions or Corrective Actions

• Proposed Solution:
  • Provide detailed steps or recommendations to resolve the identified issue(s), ensuring compliance with SayPro’s standards and SCMR guidelines.
• Responsibility for Action: Identify the department or individual responsible for implementing the corrective action.
• Timeline for Resolution: Specify the expected timeline for addressing the compliance issue.
• Expected Outcome: Outline the expected result after the corrective action is completed, ensuring that the proposal or document complies with all necessary guidelines and requirements.

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6. Documentation and Evidence

• Supporting Documents: Attach or list any relevant supporting documents that can help illustrate the compliance issue, such as:
  • Proposal documents
  • Correspondence related to the tender
  • Previous compliance reports
  • Evidence of deviations from the SCMR guidelines
• Evidence of Compliance Post-Correction: Outline how the corrections will be validated, or provide evidence that the issue has been resolved.

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7. Approval and Acknowledgment

• Compliance Officer/Manager Approval: [Name and signature of the compliance officer or manager responsible for approving the report]
• Date of Approval: [Insert date]
• Acknowledgment by Responsible Department: [Name of department or individual responsible for taking corrective action]
• Date of Acknowledgment: [Insert date]

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Example Use Case for SayPro Monthly Compliance Check – January SCMR-1

Scenario: During the monthly compliance check for January 2025 under the SayPro Marketing Royalty SCMR guidelines, the following issue was identified in a proposal submitted for a tender under SayPro Tenders.

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Sample Compliance Issue Report for January SCMR-1:

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1. Report Title:

• Document Title: Compliance Issue Report
• Report ID: CMP-2025-JAN-001
• Date of Report: January 15, 2025
• Report Prepared By: John Doe, Compliance Officer, SayPro Compliance Office

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2. Overview of Compliance Check:

• Subject/Area: Compliance Check for Tender Proposal #ST-2025-001
• Scope: The review involved evaluating the submitted proposal’s compliance with the SayPro Tenders guidelines, including the SCMR-1 document and the SayPro Marketing Royalty SCMR.
• Compliance Period: January 2025 SCMR Review

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3. Compliance Issue Details:

• Issue ID: CMP-2025-JAN-001
• Type of Issue: Missing Documentation
• Description of Issue:
  • Upon review, it was noted that the tender proposal submitted lacked the required market research report that was stipulated in the SCMR-1 guidelines (Section 3.2).
• Date Identified: January 12, 2025
• Responsible Department/Office: SayPro Tenders, Bidding, Quotations, and Proposals Office under SayPro Marketing Royalty SCMR

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4. Impact Assessment:

• Potential Risk: The lack of the market research report may result in the proposal being considered incomplete, which could lead to disqualification or a lower evaluation score.
• Severity Level: High
• Effect on Timeline: Potential delay in review process by 5-7 days due to need for resubmission.
• Effect on Proposal Acceptance: This issue may result in the proposal being deemed non-compliant if not addressed promptly.

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5. Suggested Solutions or Corrective Actions:

• Proposed Solution: Request the responsible team to resubmit the proposal with the required market research report by January 18, 2025.
• Responsibility for Action: SayPro Tenders, Bidding, Quotations, and Proposals Office
• Timeline for Resolution: Resubmission of the document by January 18, 2025
• Expected Outcome: Proposal resubmission with full compliance with SCMR-1 guidelines.

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6. Documentation and Evidence:

• Supporting Documents:
  • Proposal Submission #ST-2025-001
  • SCMR-1 Compliance Guidelines
• Evidence of Compliance Post-Correction: Resubmitted tender proposal will be checked for completeness.

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7. Approval and Acknowledgment:

• Compliance Officer Approval: [Signature of John Doe, Date]
• Acknowledgment by SayPro Tenders Office: [Signature of responsible person, Date]