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

  • Release version: Washingtondc
  • Updated February 1, 2024
  • 2 minutes to read
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    Summary of Types of Alerts, User Roles, and States of Regulatory Alerts

    This section outlines the different types of alerts available in the Regulatory Alerts module, the user roles involved, and the states of regulatory alerts within the ServiceNow platform. Understanding these elements is essential for effective management of regulatory changes and compliance.

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    Key Features

    • Types of Alerts:
      • All Assigned Alerts: Shows alerts assigned to users.
      • Unassigned Alerts: Displays alerts with no assigned Coordinator.
      • New Alerts: Lists new alerts awaiting assignment.
      • Deferred Alerts: Shows alerts marked for action at a later date.
      • Impact Assessment Alerts: For regulatory events pending assessment.
      • In Progress Alerts: Indicates alerts currently being worked on.
      • Closed Alerts: Lists alerts that are no longer relevant.
    • User Roles and Actions:
      • Managers can view all alerts.
      • Users can view only alerts assigned to them.
      • Common actions include Update, Reassign, Defer, Mark Applicable/Not Applicable, Initiate Impact Assessment, Cancel.
    • States of Regulatory Alerts:
      • New: Default state for incoming alerts.
      • Deferred: Alerts needing later action.
      • Impact Assessment: Alerts pending applicability assessment.
      • In Progress: Alerts currently being handled.
      • Closed: Alerts no longer relevant or fully addressed.
      • Cancelled: Alerts that have been cancelled.

    Key Outcomes

    By understanding the types, user roles, and states of regulatory alerts, ServiceNow customers can effectively manage compliance processes, ensure timely actions on regulatory changes, and streamline their governance practices. This organized approach enhances visibility and accountability within regulatory change management, ultimately supporting compliance and risk management goals.

    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.
    Table 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.
    Table 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.
    Note:
    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.