Compliance request workflow
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 a compliance team can raise a compliance request in the Employee Center application. 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.