Compliance Case Management

Activate the GRC case summarization skill from the AI Admin Hub to generate AI-powered summaries of compliance case records.

Define the root cause for the reported compliance case or event and its consequences on the organization by using the GRC: Compliance Case Management application.

Add an impacted area or object that is affected by the compliance case or event in the GRC: Compliance Case Management application.

Identify and add an issue that is related to the impacted areas of a reported compliance case. You can also create an issue from the GRC: Compliance Case Management landing page.

Add the regulations that are or can be impacted by the reported compliance case. In the ServiceNow platform, regulations are captured as authority documents. Adding the regulations to the case enables you to identify which regulations are breached or violated and prevents your organization from getting penalties or fines for this case.

Add an area that is related to the compliance case or event that is reported in the GRC: Compliance Case Management application.

Use ServiceNow Otto for IRM skills, such as case summarization, in Compliance Case Management to summarize and quickly understand case context.

The fields in the Report a compliance case form capture details about the suspected or confirmed compliance issue without disclosing the reporter's identity.

Use the Assessment Metric Type form to create an assessment questionnaire template by using the GRC: Compliance Case Management application.

Use the Assignment Rule form to define the case assignment rules in the Compliance Case Management application.

Set up a pre-defined rule to automate due date calculations. Rules are designed to run and becomes effective when a new record is reported into the application.

Review the skill details on each configuration tab before activating the GRC case summarization skill. Even after activation, these fields can be edited to refine the AI-generated summary.

Use the Case Task form in the GRC: Compliance Case Management application to create a case task for a reported compliance case.

Use the 360° compliance case view to explore the relationship between your compliance case and all its associated records in a distinctive visualization. To use this feature, you must integrate Compliance Case Management with the 360° Relationship Visualization application.

Use the Case Type form in the Compliance Case Management application to categorize the compliance cases by their type.

Use the Cause and Consequence form to define the cause and consequence that a case has on your organization in the GRC: Compliance Case Management application.

Create an assessment template to request responses from the assessor or reviewer. You can create this template by using the assessment metric type form in the GRC: Compliance Case Management application.

Learn how you can use the GRC: Compliance Case Management application to report, investigate, analyze, and resolve a compliance case, or raise a compliance request for your organization.

See an overview of all your compliance case-related information on your GRC: Compliance Case Management landing page. You can also create the cases, requests, and issues from this GRC: Compliance Case Management landing page.

Use the Report a Compliance Case form in the Employee Center to report a compliance case.

Use the Create Compliance Case form in the GRC: Compliance Case Management application to report a compliance case.

The workflow in the Compliance Case Management application is a process that enables you to report and manage cases that need the compliance team's attention.

Report, investigate, analyze, and resolve a compliance case or raise a compliance request by using the ServiceNow GRC: Compliance Case Management application.

The compliance case overview related list shows the details about a case. For example, you can see the description, state, schedule and milestones, case tasks, and issues that are related to a case in the GRC: Compliance Case Management application.

The GRC case summarization skill uses a large language model (LLM) to generate a structured AI summary of a compliance case record. The summary is generated on demand from case data and can be saved to the record for future reference.

You can collaborate with multiple teams to investigate, perform an impact assessment, and gather the evidence to capture the details and responses for review in the GRC: Compliance Case Management application.

Use the Raise a Compliance Request form in the Employee Center to raise a compliance request.

Use the Create new compliance request form in the GRC: Compliance Case Management application to raise a compliance request.

Use the request workflow in the Compliance Case Management application to raise and manage compliance requests within an organization. By using this workflow, your compliance requests are addressed effectively and efficiently by your compliance team.

Compose and send an email for compliance cases and requests by using the GRC: Compliance Case Management application. This feature helps you to communicate with different stakeholders within or outside your organization.

You can configure the Compliance Case Management application to report, investigate, analyze, and resolve a compliance case or requests.

Create an action task to investigate, gather evidence, and perform an assessment so that you can analyze and assess a reported case in the GRC: Compliance Case Management application. Each case can have multiple case tasks that you can assign to different owners across multiple teams.

Define the transition conditions to control how a compliance case traverses through the different workflow states by using the GRC: Compliance Case Management application.

Create an assignment rule and apply it to a compliance case type or request type by using the Compliance Case Management application. By using an assignment rule, you can determine the appropriate person or group to handle a compliance case.

Create a case type in the GRC: Compliance Case Management application to categorize the compliance cases by the type of occurrence. For example, you can create a case type, such as a financial case, code of conduct, or HR case.

Report any violation of the organization's policies or guidelines by using the Compliance Case Management application. By reporting a case, you reduce and avert the adverse regulatory actions that could impact the company's financials, reputation, and growth.

Raise a compliance request regarding organization's policies, inquiries, and guidelines by using the Compliance Case Management application. By seeking guidance, clarification, or approval, you contribute to maintaining a culture of compliance within the organization.

Use the Create an Issue form in GRC: Compliance Case Management to add an issue to a compliance case, report findings or observations or compliance deficiencies, or matters that require immediate attention from the respective owners.

Create a request type in the GRC: Compliance Case Management application to categorize and manage the compliance requests. After you create a request type, the compliance analysts and managers can select the required request type on the request form.

Create a state model to define the workflow states and transition conditions for compliance case types and request types.

Define the view rules for the workspace and default view in the GRC: Compliance Case Management application. By defining the rules, you can control how the compliance case or request form appears.

Create a workflow state for a compliance case or request to define the life cycle of the case or request using the Compliance Case Management application. GRC State Model is to configure the states and the state transitions that are created as part of the table.

Before you run the Compliance Case Management application in your instance, you must download it from the ServiceNow Store.

Create Portable Document Format (PDF) reports for compliance cases or requests using predefined or customized templates in the GRC: Compliance Case Management application. This feature enables the stakeholders who may not have access to the application can still access the data.

Use the GRC Model State Transition Condition form to define the transition conditions to control how a compliance case or request traverses through the different workflow states by using the GRC: Compliance Case Management application.

Use the GRC State Model form to define the workflow states and transition conditions in the Compliance Case Management application.

You can install the GRC: Compliance Case Management application (sn_comp_case) if you have the admin role.If the application does NOT include demo data or it does NOT install related applications and plugins, delete or revise the following sentence:The application includes the demo data and related ServiceNow Store applications and plugins if they aren’t already installed.

Use the Tasks page on the Employee Center for a consolidated view of all your tasks, including all assessments, enabling you to access and complete them efficiently.

Raise a compliance request regarding organization's policies, inquiries, and guidelines by using the Employee Center application. By seeking guidance, clarification, or approval, you contribute to maintaining a culture of compliance within your organization.

You can raise a compliance request to the compliance team by using the GRC: Compliance Case Management application. For example, you can submit a compliance request to seek advice or guidance on the organization's policies and guidelines.

Reassign an Assessment type Action task to another user in the GRC: Compliance Case Management application. For example, a case analyst or an action task owner can reassign a compliance Action task to another Action task owner if an action task is wrongly assigned or isn’t accepted by the Action task owner.

Reference topics provide additional information such as the tables and roles that are installed with the GRC: Compliance Case Management application.

Report a compliance issue by sending an email to your organization's compliance mailbox. This creates a compliance case automatically in Compliance Case Management.

Use the Anonymous Reporting Center (ARC) to submit any suspected or confirmed compliance case without disclosing your identity.

Report any violation of the organization's policies or guidelines by using the Employee Center application. By reporting a case, you reduce and avert the adverse regulatory actions that could impact the company's financials, reputation, and growth.

You can report a compliance case or an event that needs the attention of the compliance team by using the GRC: Compliance Case Management application.

Use the Request Type form in the Compliance Case Management application to categorize the compliance requests by their type.

Review and close an action task after an action task owner provides responses and observations for the case in the GRC: Compliance Case Management application.

The GRC: Compliance Case Management installs the essential role to perform respective day-to-day operational tasks towards managing compliance cases for the enterprise to perform their respective tasks.

Use the Smart Assessment Engine to perform smart assessments on compliance case action tasks.

Use the GRC case summarization skill to generate an AI summary of a compliance case. The summary provides a consolidated view of a compliance case record.

Tables are added with the activation of the GRC: Compliance Case Management application.

Publish a new version of an assessment template in Compliance Case Management to revise its questionnaire and response options.

Report compliance cases and manage the lifecycle of a case by using the GRC: Compliance Case Management application.

Use the View Rule form to define the workspace and default view rules in the GRC: Compliance Case Management application.

Accept the Action task, provide the details requested by the case analyst, and submit the Action task for a review in the GRC: Compliance Case Management application. When an action task is assigned to an assignment group, any user from the assignment group can accept and work on the task.

Use the Workflow State form to define the workflow states in the GRC: Compliance Case Management application.