Compliance case workflow

The workflow in the Compliance Case Management application is a process that enables you to report and manage cases that need the compliance team's attention.

The following diagram shows the workflow of the GRC: Compliance Case Management application.

Abbildung : 1. GRC: Compliance Case Management workflow

The different stages of the workflow are described as follows:

• Report a compliance case
• Triage the compliance case
• Investigate and evaluate the compliance case
• Resolve the compliance case
• Post case review and closure

Report a compliance case

A business user or a compliance team can report a compliance violation in the Employee Center application. Compliance case team can report cases in the Compliance Workspace application. For more information, see Reporting a compliance case in GRC: Compliance Case Management.

Triage the compliance case

After a compliance case is reported, the compliance team triages the case from a validity standpoint. The team then assigns a case analyst to work on the case.

Investigate and evaluate the compliance case

The compliance case analyst collaborates with multiple teams to investigate, gather evidence, and capture the details and responses about the case. Then, the case analyst creates the case tasks to initiate an investigation and assessment of a reported case and assigns them to a case task owner.

The case task owner adds the requested details and submits them to the case analyst for review. Based on the investigation and assessment responses, the case analyst performs the following tasks:

• Add the areas that are impacted by a compliance case. For example, the impacted areas or records that could be impacted are the entities, controls, locations, or users that are affected by the compliance case. For more information, see Add an impacted area to a compliance case.
• Add the areas that are related to the compliance case. For example, the related areas include the policies, citations, control objectives, or risk events. For more information, see Add a related area to a compliance case.
• Add the compliance regulations that might be impacted by the compliance case. For more information, see Add compliance regulations to a compliance case.
• Add the causes and consequences of this compliance case such as the root cause for the reported compliance case or event and its consequences to the organization. For more information, see Add a cause and consequence to a compliance case.

Resolve the compliance case

After all the analysis for the reported case is completed, the case analyst initiates the remediation actions and preventive measures to resolve the case. The case analyst also tracks the reportable regulatory violations to ensure their lodgement to the regulators.

Post case review and closure

The case analyst analyzes the causes and consequences of the case. Then, the case analyst​ conduct​s a root-cause analysis to remove the cause of the case. The case analyst can review the case to identify and manage the issues that are related to the impacted areas. For more information, see Add an issue for a compliance case. Finally, the compliance analyst works closely with the various teams to review and close the compliance case.