This article describes the workflow available in CORE that helps manage the interaction between Owner, Reviewed and Manager of a CORE Element. For convenience, this workflow is switched off during implementation while the data is loaded and ownership identified within the business.
There are three main steps to the workflow, which is available on the Register page. These steps are:
- Prepare: step for the Manager of the item to confirm that the assessment has been completed.
- Review: step for the Reviewer to quality assure the submission prepared by the Manager is of good quality.
- Sign-off: step for the Owner of the item to sign-off on the assessment.
The colours of the badge indicate whether the activity is delayed or not based on the expected time taken to Prepare, Review and Sign-off. The expected times are defined by the Admin user for each frequency review
EXAMPLE: An Annual assessment should take 20 days to prepare, 5 days to Review and 3 days to sign-off. The colours for the badges are calculated by working backwards from the review date of the item.
Workflow in practice
As mentioned above, the workflow appears in the Risk Register.
- The Workflow appears in the Register for each item.
- The Manager updates the assessment using the blue + button.
- Once ready, “Submit for Review” is used to submit the assessment for review.
(*Optional*) – Before submission, the Manager is provided with a reminder. This screen can be used to confirm users have attached the latest evidence or remind any statutory responsibility for false submission. Users can also leave notes for the reviewer to help them review the submission.
Once submitted, the Reviewer is notified. In the Register, the stage progresses to “Review” (#4) and two new options appear for the reviewer (#5) – to either Approve or Request Resubmission.
When requesting re-submission, the Reviewer can define the reason for requesting resubmission by selecting an option from a drop-down list (defined by the Admin in the config panel) and leave comments for the Manager to address as part of the re-submission.
(*Optional*) As with the “Submit” button, the “Approve” button can also request the reviewer to confirm various statements through tick boxes and request a comment (see Figure 3).
Finally, once the Reviewer has approved a message is sent to the Owner to sign-off. This follows the same process as for Reviewer, with the ability to request re-submission if the assessment is not found sufficient.