Perform actions on regulatory alerts

  • Release version: Australia
  • Updated March 12, 2026
  • 2 minutes to read

    • Perform various actions on unassigned and other types of regulatory alerts. For example, you can assign an unassigned alert, initiate impact assessment on an alert, and mark an alert as applicable, among other actions.

    Before you begin

    Role required: sn_grc_reg_change.manager or sn_grc_reg_change.user

    About this task

    A regulatory alert can be either a regulatory event alert or a source document alert. Some actions can be done on either type of alert, but some actions can only be done on regulatory event alerts. Users and managers can do many of the same actions, but there are some actions that can only be done by managers.

    Managers can assign fields to the appropriate user. The appropriate user can then assess the applicability of the alert, initiate impact assessments, and complete the assigned regulatory tasks.

    In the following procedure, steps 3 and after describe the various actions that you can take as a manager or user.

    Procedure

    1. Navigate to All > Application > Regulatory Change Management > Regulatory Alerts.
    2. To assign an unassigned alert, select an alert in the Unassigned Alerts module.
      With the sn_grc_reg_change.manager role, you can set the Coordinator field to an appropriate user who has the sn_grc_reg_change.user role.
      This action moves the alert to the All Assigned Alerts module.
    3. To save and update the changes to the alert record, select Update.
      FieldDescription
      Select Applicable Impact of the alert is applicable to your organization. If the alert is of a regulatory event type, then this action creates a regulatory change task. You can define and complete the regulatory actions that are associated with the change. If the alert is of a regulatory event type, then this action creates a regulatory change task. The state of the alert is updated to In Progress for both types of alerts.
    4. To defer an alert to a later date, do the following:
      1. Select Defer.
      2. Select a future reminder date and add a reason for the deferral.
      3. Select Submit.
      The alert is moved to the Deferred state in the application. Assigned users receive an email on the selected deferral date as a reminder to work on the alert. They can also cancel the alert.
    5. To initiate an impact assessment on the alert, select Initiate Impact Assessment.
      This action is available only to managers and users of regulatory event alerts. This action is not available for source document alerts.
    6. If the impact of the alert is not applicable to the organization, select Not Applicable.
      Specify a reason for marking the field as not applicable.
      The alert moves to the Closed state.
    7. To cancel the alert, select Cancel Regulatory Alert.
      This action is available to managers and users of regulatory event alerts, and to managers of source document alerts; but it is not available to the users of source document alerts.
      This action moves the alert to the Cancelled state. The alert is moved to the Closed Alerts module.
    8. To reassign an assigned alert to another user with the sn_grc_reg_change.user role, select Reassign.
    9. To delete an alert, select Delete.