workflow
Legal & Regulatory Compliance Register Evaluation
Runs the compliance office's recurring register-evaluation cycle as a compliance-review engagement: the workflow instance attaches to an Audit item created per cycle (audit_type: compliance, period_start/period_end bounding the evaluation period, lead_auditor = the compliance officer), and every gap, management directive, and result produced this cycle links back to that Audit. A decision-aware cycle that refreshes the register of applicable legal, regulatory, and contractual requirements — including intellectual-property and software-licensing obligations — confirms ownership, schedules and performs documented compliance evaluations on each requirement's defined cadence, remediates non-compliance, reports status to management, and retains the register and results as evidence. Consumes upstream: between-cycle regulatory change flows in as a data feed from the Regulatory Horizon Scanning & Triage workflow, swept at the register-refresh entry point (a feed, not a formal handoff package). Named deliverables: the dated register of record, the period evaluation schedule, the evaluation results register, the compliance determination, the exposure-ranked remediation set (Issues linked to the cycle Audit), the compliance status report and dashboard, and the retained cycle evidence set. Hands off downstream: obligations that need standing up route to the Regulatory Obligation Implementation workflow — named in prose at close-and-archive, with no handoff package produced here. In scope: the legal, regulatory, and contractual requirements already in the compliance register that fall due for evaluation this period — cadence-due, overdue, or event-triggered. Out of scope: standing up brand-new obligations. The cycle scope — register population, the due subset including overdue catch-ups, and the period boundaries — is set at the register-refresh entry point.
Record JSON · Open in map · Data retrieval guide
Catalog revision: 24028ffcfc2b295fa1b08ee6caa84b765f0731b321496bf4f548c49ad2177028. A connection does not establish full coverage.
Attributes
- domain
- reg
- department
- compliance-legal
- lineOfDefense
- operate
Details
- teams
- compliance-legal
- domains
- reg
- standards
- cobit-2019
- iso-27001
- sourceTemplateId
- workflow-library:reg-legal-regulatory-compliance-register-evaluation
- releaseId
- sha256:f66b649a8d2dd843ce3e4056421808ddaf88d95e9299e98194e32b19a040db10
- canonicalUrl
- https://workflow-library.com/all/?w=reg-legal-regulatory-compliance-register-evaluation
- capabilities
- mappingStatus
- mapped
- lineOfDefense
- operate
- controls
- UC-AUDIT-24
- roleIntegrity
- activityCount
- 0
- ermPhases
- lineRoles
- serviceModes
- warnings
Source
No record-specific source URL is provided.
Download workflow template · Release: sha256:f66b649a8d2dd843ce3e4056421808ddaf88d95e9299e98194e32b19a040db10