Use casesCompliance management system

Build your compliance management system.

Keep obligations, evidence requests and remediation work connected to their owners.

How to build your compliance management system

  1. Describe the job

    Keep obligations, evidence requests and remediation work connected to their owners.

  2. Review the first version

    Choose how the control owner records the obligation source and how the evidence reviewer reviews the next step.

  3. Refine the views

    Ask First to adjust the fields and views for the people who will use the app.

  4. Test before sharing

    Walk through the process with a sample record and check who owns the next action.

A compliance management system example

A control is labelled complete without its required evidence reference.

Illustrative workflowCompliance management system

Compliance management system example

Record
Compliance management system · 01
Owner
Control owner

Current stage · Control owner

Open the obligation source

A control is labelled complete without its required evidence reference.

Read the full walkthrough
  1. Open the obligation source

    A control is labelled complete without its required evidence reference.

    Record:
    Compliance management system · 01
    Owner:
    Control owner
  2. Review the remediation

    Keep its assurance status unverified while assigning follow-up.

    Stage:
    Review pending
    Owner:
    Evidence reviewer
  3. Leave the control unverified

    Leave the control unverified until the required evidence has been reviewed.

    Next action:
    Leave the control unverified until the required evidence has been reviewed.
    Owner:
    Compliance coordinator

What to include in your compliance management system

  • Keep the obligation source in context

    Keep obligation source, control owner, evidence request, review date, gap and remediation together so the next person can understand the request or record.

  • When the next step needs a decision

    A control is labelled complete without its required evidence reference. Keep its assurance status unverified while assigning follow-up.

  • Keep remediation visible

    Leave the control unverified until the required evidence has been reviewed.

  • Choose what each person needs

    Give the control owner a working view and the evidence reviewer a review view. Keep obligation source and control owner attached to the decision as the work moves between them.

Questions about compliance management system

Start with obligation source, control owner, evidence request, review date, gap and remediation. Describe who enters the information and who reviews the next step.

Build your compliance management system.

Start with your workflow and make it yours.

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