Compliance Finding Resolution Process Template
A compliance finding resolution workflow, from receiving a compliance report to closing the finding. High-risk findings are escalated to the committee and low-risk findings are assigned to an owner. Corrective actions are then implemented and the resolution verified before the finding is closed.
The process, step by step
The written procedure this diagram represents, in the order the steps happen.
- 1.
Receive Compliance Report
- 2.
Review Findings
- 3.
DecisionAssess Risk Level
- If High Risk, go to step 4 (Escalate to Committee).
- If Low Risk, go to step 5 (Assign to Owner).
- 4.
Escalate to Committee
- Go to step 6 (Implement Corrective Actions).
- 5.
Assign to Owner
- 6.
Implement Corrective Actions
- 7.
Verify Resolution
- 8.
Close Finding
Who's involved
This template is a single flowchart without role lanes. When your document names who does each step, Docugram draws a lane for each role.