Types of alerts, user roles, and states of regulatory alerts

Different users perform various actions on the alert records based on the type of the alert.

You can view the following types of alerts under the Regulatory Alerts module:

• All Assigned Alerts: Displays all assigned alerts in the instance where the Coordinator field is assigned to an appropriate user.
• Unassigned Alerts: Displays the unassigned alerts in the instance where the Coordinator field is empty. Mark the Overall impact as No impact, Low, Medium, High, or Critical.
• New Alerts: Displays new alerts in the instance where the Coordinator field is empty.
• Deferred Alerts: Displays the deferred alerts where the Coordinator field is assigned to an appropriate user, the state is Deferred, and a reminder date is listed to perform the action post deferral.
• Impact Assessment Alerts: Displays the alerts for regulatory events that are in Impact Assessment state.
• In Progress Alerts: Displays the alerts that are in In Progress state.
• Closed Alerts: Displays the alerts that are in Closed state.

The following table provides information on the user roles, the actions that these users can perform, and the description of these actions.

표 1. User roles, actions, and description

User roles	Actions	Description
sn_grc_reg_change.manager sn_grc_reg_change.user sn_grc_reg_change.admin	Update	Updates the details of the alert.
	Reassign	Reassigns the details of the alert.
	Defer	Defers a regulatory alert to a future date.
	Applicable	Marks the alert as applicable.
	Initiate Impact Assessment	Initiates an impact assessment on the alert.
	Not Applicable	Marks the alert as not applicable.
	Cancel	Cancels the alert.

Managers can view all alerts. Users with the sn_grc_reg_change.user role can view assigned alerts that are assigned to them, but they cannot view unassigned alerts or alerts that are assigned to other people.

See the following table for information on the states of regulatory alerts.

표 2. States of the alerts and their description

State	Description
New	Each incoming regulatory alert is by default assigned to a new state. Only the sn_grc_reg_change.admin or the sn_grc_reg_change.manager can assign an alert record.
Deferred	Some alerts do not require an immediate action and therefore, they are in the Deferred state and they are assigned to a later date.
Impact Assessment	The alert records that are of type regulatory event are assessed for applicability and are marked for an impact assessment. After an impact assessment, the alerts are marked as applicable or not applicable.
In Progress	Alerts with the In Progress state are being worked on. An sn_grc_reg_change.user is assigned to each alert.
Closed	Alerts that are not relevant to an organization are in the Closed state. Alerts that have associated tasks that have been completed are also in the Closed state.
Cancelled	Alerts that are in Cancelled state.

주:

The attributes on the alert record are part of the metadata that is given by the third-party regulatory intelligence provider. These attributes help in determining the applicability of the alert to the organization. These records are non-editable in the Regulatory Change Management application.