Obligation review

Step by step

1. Identify the source Compliance Lead

   Compliance Lead records the organization, jurisdiction and authority source for the obligation.

   • Establish the rule's entity and origin
   • Updates Regulatory obligations, Organizations

2. Place it in scope Compliance Lead

   The lead links the obligation to the assessment that will examine its effect and records effective date or deadline context where known.

   • Give review an assessment context
   • Updates Regulatory obligations, Assessments

3. Submit the revision Compliance Lead

   The lead reviews the entered details and moves the obligation to Submitted for a decision.

   • Present a defined version for review
   • Updates Regulatory obligations

4. Approve obligation Independent Reviewer

   Independent Reviewer checks the submitted version and records Approve, Reject or Return with a reason, decision time and operation key identifying the obligation.

   • Preserve decision, reason and revision
   • Updates Review decisions, Regulatory obligations
   ApprovalA person approves before the work moves on.

5. Respond to the decision Compliance Lead

   The lead handles a returned or rejected obligation and keeps the earlier decision attached to the assessment record.

   • Retain earlier decision context
   • Updates Regulatory obligations, Review decisions

6. Check completion Compliance Lead

   The team compares the obligation outcome with the assessment's findings and corrective work before marking it completed.

   • Relate the outcome to assessed work
   • Updates Regulatory obligations, Assessments, Findings

Compliance Lead

, Independent Reviewer, Admin.