Creating a Compliance Process from an Obligation
Open an Obligation and click the
Integration tab1. Click the
Create Compliance Process from Obligationbutton 2.
New Compliance Processwindow displays. Enter values for all fields. Leave
Convert Sub Obligations to Process Controls2 unticked to create the Compliance Process only (See the next section for more information on when this is ticked.). Click the
Saveicon 13 to create the new Compliance Process. (See New Compliance Process window elements for details on each field in this window.)
Note: If you do not have Compliance Risk configured, the Risk field 11 will not appear.
The new Compliance Process displays. Click the Source Obligation tab.
The Source Obligation tab displays the current information of the Obligation.
New Compliance Process window elements
Click this icon to display information on creating a Compliance Process.
Select this checkbox to be able to convert the Sub Obligations of this Obligation to Process Controls.
‘Process Number’ field
The Obligation number will default to the Process Number field, but this may be changed to another unique Compliance number.
‘Record Status’ field
Click this field and select the Record Status from the drop-down list.
The Obligation ‘Title’ will default to the Title field. This may be edited.
‘(Business Unit)’ field
Select a Business Unit responsible for the Compliance Process.
Select the relevant Compliance Category.
‘Responsible Officer’ field
select a Position from the drop-down list. This Position will be responsible for the Compliance Process. Select Edit access for this Position’s Security Group 12.
Apply one or more Tags to the Compliance Process to associate the Record with other Records of similar application. See Tags in the Glossary for more information.
The Obligation ‘Directional’ will default to the Description field. This may be edited.
The Obligation ‘Consequence’ will default to the Risk field. This may be edited.
Select the security access of the Security Groups. Ensure that the Responsible Office’s 8 Security Group has Edit access.
Click the Save icon to create the new Compliance Process.
Click the Cancel icon to close this window without processing.