Source document import tasks
Summarize
Summary of Source Document Import Tasks
The Regulatory Change Management application enables the processing of external regulatory alerts, facilitating the import of source documents into a regulatory library. Each alert contains essential metadata, such as citation titles and numbers, which supports proper classification and traceability of documents relevant to compliance and governance.
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Key Features
- Automated Task Creation: When alerts are marked as applicable by a user with the sngrcregchange.manager role, an import task is automatically generated.
- Defined Workflow Lifecycle: The import task follows a structured workflow, progressing through several states from "Ready to Import" to "Closed."
- Stakeholder Review: Compliance team members evaluate and manage the import tasks, ensuring consistency and accuracy in the regulatory library.
- Multiple Task Association: You can link multiple import tasks to a single regulatory alert, enhancing organization and tracking of regulatory content.
Key Outcomes
By utilizing the source document import tasks, compliance teams can efficiently manage the ingestion of regulatory documents, ensuring comprehensive capture and organization within the regulatory library. The structured workflow for each task streamlines the process from identification to completion, allowing for better traceability and accountability in regulatory change management.
The Regulatory Change Management application processes external alerts that may include citation titles, citation numbers, and references to legislative or regulatory materials relevant to compliance.
Each alert record contains metadata that supports the import of the document into the regulatory library. The metadata includes citation names and other relevant reference information for proper classification and traceability.
Regulatory alerts of the source document type provide citation titles and citation numbers when received. Source documents may reference legislative or regulatory materials relevant to compliance and governance.
Unassigned source document alert records are assessed to determine applicability. If marked as applicable, a source document import task is created automatically. The import task originates from the regulatory alert record and
follows a defined workflow or life-cycle. The source document import life-cycle begins when the alert is marked applicable by a user with the sn_grc_reg_change.manager role. The import document task then appears
in the Ready to import state for stakeholder review.
Compliance team members evaluate the citation associated with the alert and determine the appropriate action. Each import task facilitates ingestion of a specific source document into the regulatory library. Compliance team members are responsible for importing the document and maintaining consistency within the regulatory library.
You can associate multiple source document import tasks with a single regulatory alert. This configuration simplifies management and improves tracking of regulatory content ingestion processes. Each task adds relevant documents to the regulatory library for comprehensive capture and organization. Grouping tasks under one alert enhances traceability throughout the regulatory change management process.
New workflow of a source document import task
- GRC: Common Workspace Elements (
sn_grc_workspace) - GRC: Regulatory Change Management (
sn_grc_reg_change)
- Ready to Import- The task has been identified and prepared for import into the system. No work has started yet.
- In Progress- The task is actively being worked on. This includes analyzing the source document and defining necessary regulatory changes.
- Implementation- Identified changes are being executed. This may involve creating related tasks such as policy updates, control modifications, or process changes.
- Awaiting Approval- All implementation activities are complete, and the task is pending review and approval from the appropriate stakeholders or compliance team.
- Closed- The task has been reviewed, approved, and all required actions are completed. No further work is needed.