TriLine GRC has created a direct interface with our platinum partner, LexisNexis. The interface means that a Compliance Process and a Process Control can be created directly from a LexisNexis Obligation and Sub Obligation within the Obligations Module. The Obligation then becomes the Source Obligation for their respective Compliance Processes and Process Controls.
Many Compliance Processes can be created from an Obligation, but a Compliance Process may only have one Source Obligation. Similarly, many Process Controls can be created from Obligation or Sub Obligation, but again the Process Control can also only have one Source Obligation.
The advantage of a Compliance Process or Process Control of having a Source Obligation is the ease of ongoing maintenance when applying updates from an updated Obligation.
Any subsequent updates from LexisNexis to the Obligations and Sub Obligations can be applied to the Compliance Processes and Process Controls by the Owner (or an Edit Access security position) in a controlled manner via the Source Obligation tab.
Normal TriLine GRC Linking between records remains unchanged, so if you require to link to more than one obligation it is still possible to do that and it will not affect the Source Obligation. The Source Obligation will not be affected. Source Obligations are also displayed as a linked record.
Obligation to Compliance Options
You can:
Create a new Compliance Process from an Obligation.
Create a new Compliance Process from an Obligation and create Process Controls from one to all of this Obligation’s, Sub Obligations.
Create a new Process Controls to a selected Compliance Process from any Sub Obligation.
Allocate a Source Obligation to an existing Compliance Process from an Obligation.
Give an existing Process Control a Source Obligation from an Obligation or Sub Obligation.
Obligation to Compliance Field Mappings
These tables display the field mappings from the Obligation or Sub Obligation:
Compliance Fields
Obligation
Compliance Process
Number
Process Number
Module : Topic : Title
Title
Directional
Description
Consequence
Risk *
Process Fields
Obligation / Sub Obligation
Process Control
Title & Questional
Task Description
Source Obligation
A Compliance Process with a Source Obligation will display the details of the Obligation on the Source Obligation tab, removing the need to open that Obligation from the Obligation module to see its details.
‘Compliance Process Source Obligation tab’
A Process Control with a Source Obligation will display the details of the Obligation, or Sub Obligation, on the Source Obligation tab removing the need to open that Obligation from the Obligation module to see its details.
‘Process Control Source Obligation tab’
Procedures
Creating Source Obligation
Creating a Compliance Process from an Obligation
Open an Obligation and click the Integration tab1. Click the Create Compliance Process from Obligation button 2.
‘Creating a Compliance Process from Obligation’
The New Compliance Process window 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 Save icon 13 to create the new Compliance Process. (See New Compliance Process window elements for details on each field in this window.)
‘New Compliance Process’ 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.
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The Source Obligation tab displays the current information of the Obligation.
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New Compliance Process window elements
New Compliance Process window elements
ID
Element
Description
1
‘Information’ icon
Click this icon to display information on creating a Compliance Process.
2
‘Convert’ checkbox
Select this checkbox to be able to convert the Sub Obligations of this Obligation to Process Controls.
3
‘Process Number’ field
The Obligation number will default to the Process Number field, but this may be changed to another unique Compliance number.
4
‘Record Status’ field
Click this field and select the Record Status from the drop-down list.
5
‘Title’ field
The Obligation ‘Title’ will default to the Title field. This may be edited.
6
‘(Business Unit)’ field
Select a Business Unit responsible for the Compliance Process.
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.
9
‘Tags’ field
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.
10
‘Description’ field
The Obligation ‘Directional’ will default to the Description field. This may be edited.
11
‘Risk’ field
The Obligation ‘Consequence’ will default to the Risk field. This may be edited. Note: This is a configurable field and may not appear on your site.
12
‘Security’ access
Select the security access of the Security Groups. Ensure that the Responsible Office’s 8 Security Group has Edit access.
13
‘Save’ icon
Click the Save icon to create the new Compliance Process.
14
‘Cancel’ icon
Click the Cancel icon to close this window without processing.
Creating a Compliance Process With Sub Obligations as Process Controls
Repeat step 1 and 2 of Creating a Compliance Process from an Obligation. Before clicking Save, additionally select Convert Sub Obligations to Process Controls and the number sequencing you prefer. Click Save.
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The Create Process Controls information will appear. If you choose not to select any Sub Obligation, click Do not create Process Controls to complete creating the New Compliance Process.
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When a Sub Obligation is selected, the Create Process Controls and Undo Changes buttons become active.
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For each selected Sub Obligation, enter fields as required to create the Process Control. Note There is some limitation to the bulk entry process, including the defaulting of Outcome to Attestation, and not being able to pick a day of the month. However, these values can be updated later in the created Process Controls.
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When completed, click Create Process Controls.
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If error messages are displayed, correct them as necessary. The new Compliance Process is then displayed. Click the Process Controls tab to displayed the converted Sub Obligations.
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Creating a Process Controls from an Obligation
Open an Obligation and click the Integration tab1. Click the Create a Process Control button 2.
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The New Task window appears. Select the Compliance Process this new Process Control is created in.
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The familiar New Task fields will appear with description defaulted from the Obligation Questional. Enter a Sequence 1, and other fields if required, then click the Schedule tab 2.
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Enter the Schedule fields 1 as required, then click Save2.
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The Obligations TriLine GRC Links, Process Controls tab will display. Your new Process Control will be in this list.
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Click the Compliance tab to also see the new link to Compliance Process your new Process Control has been created in. Click on this record to open it.
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The Compliance Process is displayed. Click on the Process Controls tab. Click on the new Process Control to open it.
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The Process Control window opens. Click on the Source Obligation tab to see all details of the Obligation. Any updates to this Obligation can be applied from this tab to this Process Control.
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Creating a Process Controls from a Sub Obligation
Open a Sub Obligation and click the Integration tab1. Click the Create a Process Control button 2.
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The New Task window appears. Select the Compliance Process this new Process Control is created in.
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The familiar New Task fields will appear with description defaulted from the Sub Obligation Questional. Enter a Sequence 1, and other fields if required, then click the Schedule tab 2.
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Enter the Schedule fields 1 as required, then click Save2.
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The Sub Obligations TriLine GRC Links, Process Controls tab will display. Your new Process Control will be in this list.
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Adding Source Obligation
Obligations and Sub Obligations can be added to existing Compliance Process and Process Controls as their Source.
Adding a Source Obligation from a Compliance Process
Open the Compliance Process you want to add an Obligation Source to. Click the Source Obligation tab. Click the Add Obligation Source button.
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Click the dropdown field Select Obligation as Source1. This field can be used as a search field. After selecting the Obligation, click the Link Obligation icon 2.
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The Source Obligation tab will display the new Obligation Source.
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Adding a Source Obligation from a Process Control
Open the Process Control you want to add an Obligation Source to. Click the Source Obligation tab. Click the Add Obligation Source button.
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The Select Obligation as Source window is displayed. This field can be used as a search field.
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Click the dropdown field Select Obligation as Source1. After selecting the Obligation, click the Link Obligation icon 2.
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The Source Obligation tab will display the new Obligation Source. In this example it is a Sub Obligation.
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Maintenance
Identifying Awaiting Updates
Owners of the Compliance Process will receive a notification email informing them an update has arrived and is ready to be applied.
Compliance Processes with awaiting updates will have their Source Obligation cells shaded.
Running the Unresolved Obligation Update from the Compliance menu will display the updates awaiting being applied.
Update Notification
For updates to an Obligation that is a Source to Compliance Process(es), the Owner of the Compliance Process is notified.
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Login into TriLine GRC and open the Compliance Process.
Compliance List
Add the Source Obligation column to the list. It appears titled with the LexisNexis icon. Select the filter icon and select Has Source Obligation and click OK.
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The shaded cells indicate Compliance records with Obligation updates awaiting to be applied.
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Click the record to open the record.
Unresolved Obligations Update
From the Compliance menu, select Unresolved Obligation Update.
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The list displays all updates that are awaiting to be applied to a Compliance Process and Process Control.
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Click the record to open the record.
Note All list in TriLine GRC are security restricted. You can ONLY see the records you have access to see.
Update the Compliance Process
Open the identified Compliance Process awaiting an Obligation update. Click the Source Obligation tab. Click the Update from Obligation button.
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The Update from Obligation window appears. Untick any values you do not want updated from the Obligation. Change the Version Number as required. Click the Save icon to apply the update, or click Cancel icon. Note:The Compliance Process is archived before the update is applied.
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After the update, the Obligation Source tab will appear without the update option.
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Update the Process Control
Open the identified Process Control awaiting an Obligation update. Click the Source Obligation tab. Click the Update from Obligation button.
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A confirming message will be displayed. Click OK.
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After the update, the Obligation Source tab will appear without the update options.
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Clear the Update Notice
Open the Compliance Process or Process Control you want to Clear the Notice for.
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Click the Clear the Update Notice button and that update will immediately be removed and will not accessible again till the next update.
Deleting Source Obligation
Deleting a Source Obligation from a Compliance Process
Open the Compliance Process you want to delete an Obligation Source from. Click the Source Obligation tab. Click the Delete Obligation Link Source button.
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A confirming message will be displayed. Click OK.
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The Source Obligation tab will display the Obligation Source removed.
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Deleting a Source Obligation from a Process Control
Open the Process Control you want to delete an Obligation Source from. Click the Source Obligation tab. Click the Delete Obligation Link Source button.
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A confirming message will be displayed. Click OK.
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The Source Obligation tab will display the Obligation Source removed.
