watsonx.governance Regulatory Compliance Management (RCM) workflows

This workflow helps the Compliance Plan owner to capture evidence for their Obligation Evaluations.

This workflow is started by the Compliance Plan Assessment workflow.

This workflow starts when users copy a library compliance plan (that has been reviewed by using the Compliance Plan - Library Management workflow). Its purpose is to update several fields on the copied compliance plan in order to make it applicable for the Compliance Plan Assessment workflow.

This workflow assists Compliance Officers with the review of compliance plans and associated obligations that are in the AI Compliance Plan Library. When the review is complete, the Distribution Status of the child obligation evaluation objects is set to Ready for Distribution. This makes the compliance plan available for copy from within the task view on the Use Case.

This workflow assists users to ensure that all of the obligations in the compliance plan are met, including gathering evidence and assessing the obligations.

This workflow starts the Compliance Evidence workflow for the information gathering stage, and then starts the Compliance Obligation Assessment workflow for the evaluation stage. When the evaluation stage is complete, the sets the status of the Compliance Plan to Assessment Complete and starts the Obligation Eval Value Creation workflow to capture the results on the evaluation.

This workflow guides the user through the evaluation of an Obligation Evaluation object to determine how well the provided evidence meets the requirements.

The workflow includes the option to return the Obligation Evaluation object to the use case owner for more information.

This workflow is used by the Compliance Plan Assessment workflow. You can also start the workflow manually.

This workflow creates an Obligation Evaluation Value object to store the results of an obligation evaluation, creating a historical record.

This workflow is used by the Compliance Plan Assessment workflow. You can also start the workflow manually.

When a Regulatory Change record is created, this workflow starts. The user determines the applicability of the Regulatory Change record and determines the impact of the Regulatory Event. The user can also create and assign Regulatory Tasks to users within RCM for actions that need to be taken to respond to the Regulatory Event. When Regulatory Tasks are assigned to users, this workflow cannot close until all related Regulatory Tasks are complete.

When a Regulatory Task record is created, this workflow starts. The workflow alerts the owner of the Regulatory Task that a record was created and assigned to them. After the user completes the assignment that is provided in the Regulatory Task record, they click Task Completed. The workflow changes the status field to Completed and populates the date that the task was completed.

This workflow guides the user through preparing for, and responding to, a regulator interaction, such as a meeting request, inquiry, or examination. A user creates a Regulator Interaction record and then can add documents to the record before manually initiating the workflow. The workflow is assigned to the user listed as Primary Internal Contact of the primary parent Regulator record, which is associated to the Regulator Interaction. Otherwise, the Owner field must be input for the workflow to initiate. The user identifies other users for collaboration, prepares a plan to respond to the regulator interaction, executes the plan, and waits for the outcome of the interaction before they close the workflow. The fields that are provided for each view within the workflow are tailored for the user based on the type of regulator interaction and the stage of the workflow.

This workflow automatically initiates upon the creation of an RI Component record. Similar to the Regulator Interaction Workflow, the user prepares a plan to respond to the regulator, executes the plan, and waits for the outcome of the interaction with the regulator. The fields that are provided in each view within the workflow are tailored for the user based on the type of regulator interaction and the stage of the workflow.

This workflow automatically initiates upon the creation of an RI Sub-Component record. Similar to the Regulator Interaction Workflow, the user prepares a plan to respond to the regulator, executes the plan, and waits for the outcome of the interaction with the regulator. The fields that are provided in each view within the workflow are tailored for the user based on the type of regulator interaction and the stage of the workflow.

This workflow assists users in evaluating the effectiveness of Controls for managing the compliance risk of mapped Requirements. This workflow is started manually.

After you launch the Compliance Theme Deployer but before you start the Requirement Evaluation workflow, assign a user as the Owner of the Requirement Evaluation.

This workflow assists users in evaluating the effectiveness of Controls for managing the compliance risk of mapped Requirements. This assessment is performed at the Requirement level for a review of all child Requirement Evaluations.

This workflow is scheduled to run weekly. The workflow is initiated for a Requirement when all child Requirement Evaluations are in a Review Status of Completed.

This workflow is started by the Compliance Theme – BE Reset Workflow. The Requirement Eval Reset workflow resets values on Requirement Evaluations that are mapped to a Compliance Theme.

This workflow creates a Regulatory Change record and associates the record to a Regulatory Event when the conditions of a rule from the Rules Engine are met that indicate the Regulatory Event addresses a regulatory change, such as a proposed or final rule published in the Federal Register. The workflow also populates certain fields on the created Regulatory Change record, including categorizing the Regulatory Change record as Regulatory Change. This workflow enables the association of multiple Regulatory Change records to a Regulatory Event so that multiple users can analyze the impact of the Regulatory Event on their particular areas of responsibility within the organization.

The workflow is started from the Compliance Plan object. The workflow initiates a waterfall of other two-stage workflows to reset values when a new compliance assessment cycle is necessary. Run this workflow from Settings > Solution Configuration > Workflows to ensure that all Compliance Plans are reset.

This workflow assists users to evaluate the effectiveness of Controls for managing the compliance risk of all Requirements within a business unit.

This workflow is scheduled to run daily. The workflow is initiated when all child Compliance Themes within a Business Entity hierarchy are in a Review Status of Completed.

This workflow assists users in evaluating the effectiveness of Controls for managing the compliance risk of all mapped Requirements within the enterprise.

This workflow is scheduled to run daily. The workflow is initiated when all child Compliance Themes within the Library are in a Review Status of Completed.

This workflow automatically initiates upon the creation of a Compliance Review Comment record when a Reviewer is identified by the creator of the record. A workflow stage is assigned to the Reviewer to review the comment provided by the creator of the record. After the Reviewer enters the information in the Comment Response field, they can submit the response for the record creator’s review. The creator of the record can then close the workflow or request a follow-up review from the Reviewer.

This workflow assists users in evaluating the effectiveness of Controls for managing the compliance risk of mapped Requirements within a Theme.

This workflow is scheduled to run daily. The workflow is initiated for a Compliance Theme when all of its child Requirement Evaluations are in a Review Status of Completed.

This workflow is started by the Compliance Assessment Reset workflow. The Compliance Theme - BE Reset workflow resets values on Compliance Themes that are located within a Business Entity hierarchy.

This workflow assists users to evaluate the effectiveness of Controls for managing the compliance risk of mapped Requirements within a Theme Library.

This workflow is scheduled to run daily. The workflow is initiated when all child Requirements have an Overall Requirement Score defined.

This workflow assists users in the construction of Compliance Themes that can be deployed to Business Entities for assessment. The workflow starts automatically when users create a new Compliance Theme library object.

This workflow is started by the Compliance Assessment Reset workflow. The Compliance Theme - Library Reset workflow resets values on Library Compliance Themes.

This workflow assists users in updating Compliance Themes, which can later be deployed to Business Entities for assessment. This workflow is started manually.