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Workflows in CORE

Workflows in CORE help manage the integrity of the ongoing “assessments” for CORE Elements (?). In other words, workflows ensure that the data supporting say a control assessment is being reviewed for completeness, appropriateness and accuracy by the right individual in the business.

Overview

The workflow stages map closely to the responsibility structure for a CORE Element. For instance, a typical workflow for a control starts with:

  • the control Manager prompted to Prepare the assessment; followed by
  • the control Reviewer requested to Review the information provided; and
  • the control Owner assigned to the control being asked to Sign-off the assessment.

This three stage workflow is the default workflow, however, a simpler two-stage version of the workflow is also available.

Figure 1: Mapping for Responsibilities and workflow stages.

The two-stage workflow is designed with small teams in mind, specifically where Owners wear multiple hats and may not have time to sign-off all the CORE Elements assigned to them.

Two-stage workflows are signed off by Reviewers

In the two-stage workflow, individuals assigned as Reviewers, and not Owners, will be responsible for signing off the CORE element (Risks, Controls, indications, actions etc.)

Key Facts & Info

Here are some facts to remember about workflows in CORE:

  • Assessment completion date: An assessment is only considered complete after it has been signed-off and the clock for the next assessment starts.
  • WF used for short: The App you will often use WF to abbreviate WorkFlow.
  • Automatics Notifications: Notifications are automatically sent out to the next individual responsible each time a workflow stage is completed.
  • Request Resubmissions: If a Reviewer or an Owner is not happy with the assessment, a resubmission request can be made as part of the workflow. Resubmission requests appear as RED in the Track & Trend section in the cards page with the reason and comments for the re-submission clearly outlined.

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