Manage the regulatory change tasks
Manage the regulatory action tasks in the Regulatory Change Tasks module so that you can use these tasks to identify and comply with the regulatory changes.
Before you begin
Role required: sn_grc_reg_change.manager, sn_grc_reg_change.user, or sn_grc_reg_change.admin
About this task
Regulatory change tasks are automatically created whenever a regulatory event alert is marked as applicable after the applicability assessment. Regulatory Compliance team members craft an action plan to identify the changes that need to be implemented so that your organization complies with the regulatory change.
Starting with version 21.0.1, regulatory change tasks do not require approval before work begins. Tasks can move into the Implementation state before entering Awaiting Approval, allowing teams to start compliance activities earlier. Approval remains part of the workflow but is no longer enforced as a mandatory gate before implementation.
Procedure
Navigate to All > Application > Regulatory Change Management > Regulatory Change Tasks.
Select a regulatory change task.
On the form, fill in the fields.
| Field | Description |
|---|---|
| Assignment group | Assignment group of the task. The group is selected from the Group Hierarchy table. |
| Assigned to | Name of the user who is assigned the task. |
| Approver type | User or group who approves the task. |
| Approver | Approver of the regulatory change task. When the approver type is Group, the request is sent to the group members. |
| Due date | Due date for the regulatory change task. |
| Approved on | Date when the regulatory change task is approved. |
| Regulatory alert | Name of the regulatory alert. |
| Instructions | Instructions for the task. |
| Watch list | Watch list to add interested users. |
| Worknotes list | Users interested in the work notes. |
| Work notes | Log of the work notes. |
| Activities | Log of the activities. |
| Related list | |
| Action Tasks | Regulatory action tasks. Select New to create a regulatory action task in response to the regulatory change task.Note: If there are regulatory action tasks that are in progress when the parent regulatory task is closed manually, all the associated regulatory action tasks are moved to the Cancelled state with the following warning message: If there are no regulatory action tasks associated or if the regulatory action tasks are closed, the following message is displayed: |
| Issues | Issues observed during the regulatory change workflow or source document workflow. |
| Approvers | Approval records that get created when an approval is requested. |
Select Update.
If you want to add new action tasks that are related to the regulatory change task, select New in the Action Tasks related list.
If approval is required, log in as an approver and select Request Approval to request an approval.
If approval is requested, the state of the regulatory change task is updated to the Awaiting Approval state. In the Approvers related list of the regulatory change task, the state of the approval is updated to Requested. The manager with the sn_grc_reg_change.manager role, the user with the sn_grc_reg_change.user role, or the admin user with the sn_grc_reg_change.admin role can view the request in My Approvals of the regulatory change tasks.
Select Approve to approve the request.
Result
The regulatory change task continues through the workflow based on its current state. Approval can occur before or after the task enters the Implementation state, depending on workflow configuration. When the action tasks associated with the regulatory change task are completed, the regulatory change task is closed.
Parent Topic:Regulatory change tasks