Compliance request workflow
Summarize
Summary of Compliance request workflow
The compliance request workflow in the Compliance Case Management application enables organizations to efficiently manage compliance requests. This structured process ensures that requests are effectively addressed by the compliance team, enhancing governance and risk management efforts.
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Key Features
- Raise a Compliance Request: Users can submit requests via the Employee Center or Compliance Workspace applications.
- Triage Process: A request analyst evaluates the validity of each request, ensuring only relevant cases progress.
- In Progress Stage: Analysts assess requirements, eligibility, and necessary documentation related to the request.
- Awaiting Approval: Requests are reviewed for approval or rejection, with the possibility of multiple approvers weighing in.
- Cancellation: Requests can be canceled at any stage with appropriate justification.
- Closure: Requests are marked as closed once all actions have been completed, indicating resolution.
Key Outcomes
Utilizing this workflow helps organizations streamline their compliance processes, ensuring that requests are handled promptly and appropriately, which ultimately contributes to effective governance and compliance management.
Use the request workflow in the Compliance Case Management application to raise and manage compliance requests within an organization. By using this workflow, your compliance requests are addressed effectively and efficiently by your compliance team.
The following diagram shows the workflow of a compliance request in the GRC: Compliance Case Management application.
- Raise a compliance request
- Triage the compliance request
- Working on a compliance request
- Awaiting request approval
- Cancel a compliance request
- Close a compliance request
Raise a compliance request
A business user or compliance team raises a compliance request. A business user can raise a request in the Employee Center application. A compliance case team can raise requests in the Compliance Workspace application. For more information, see Raising a compliance request in GRC: Compliance Case Management.
Triage the compliance request
After a compliance request is raised, the compliance team assigns a request analyst to work on the case. The request analyst then triages the case from a validity standpoint. By conducting this evaluation, the request analyst ensures that only the valid and relevant requests proceed further in the compliance process. After the request analyst verifies the request as valid, the request moves to the In progress state.
Working on a compliance request
In the In progress stage, the request analyst determines all the requirements for the raised request. The request analyst verifies the eligibility of the request and identifies any supporting documents, such as the policies, controls, citations, and control objectives that are related to the request. The case analyst can approve or reject the compliance request. If necessary, the analyst can seek approvals from the various stakeholders.
Awaiting request approval
After the request has been reviewed, it reaches this stage where a decision is made regarding its approval or rejection. This stage involves evaluating the raised request. If the request meets the necessary criteria, it’s approved. Otherwise, it may be rejected with the justifications provided to the requester. Requests can be sent for approval to multiple users and can be approved or rejected by any one of them. The Any Approvers option enables the request to be closed as soon as it receives an approval or rejection from any of the assigned approvers. For more information, see Create an approval workflow.
Cancel a compliance request
In this stage, a request may need to be canceled if it isn't a compliance request. A request can be canceled with the justifications provided to the requester. A request can be canceled at any stage, including Triage, In Progress, and Awaiting Approval states.
Close a compliance request
After a compliance request is fully processed and approved or rejected, it enters the Closed stage. This stage indicates that all the necessary actions that are related to the request have been taken. The request is considered resolved, and no further actions are required.