An efficient workflow for managing and executing compliance requirements. Streamlines creation, analysis, approval, and communication of your compliance matrix.
1
Define the compliance requirements
2
Create a draft of the compliance matrix
3
Analyze the source documents for applicable requirements
4
Link each requirement to its source specification in the draft
5
Approval: Draft Review
6
Revise the draft according to feedback
7
Identify and document any ambiguous or unclear requirements
8
Approval: Ambiguous Requirements
9
Rework ambiguous requirements and update matrix accordingly
10
Confirm that all the identified requirements are included and correctly referenced
11
Finalize the compliance matrix
12
Approval: Final Compliance Matrix
13
Record the approved compliance matrix in the project records
14
Communicate the approval of the compliance matrix to stakeholders
15
Store the compliance matrix in a relevant and accessible location
Define the compliance requirements
Identify and document the compliance requirements for the project. This task plays a crucial role in laying the foundation for the compliance matrix. Ensure that all relevant regulations, standards, and contractual obligations are considered. The desired result is a comprehensive list of compliance requirements.
1
Finance
2
Healthcare
3
Technology
4
Manufacturing
5
Government
1
Legal
2
Financial
3
Privacy
4
Security
5
Quality
Create a draft of the compliance matrix
Draft a compliance matrix that outlines the mapping of compliance requirements to the applicable source specifications. This task is essential to provide a visual representation of the compliance landscape. The desired result is a preliminary version of the compliance matrix.
Analyze the source documents for applicable requirements
Thoroughly review the source documents to identify relevant requirements. This task helps ensure that all applicable requirements are captured in the compliance matrix. Pay attention to legal, contractual, and industry-specific documents. The desired outcome is a list of applicable requirements.
1
Contract
2
Policy documents
3
Regulatory guidelines
4
Industry standards
5
Internal procedures
Link each requirement to its source specification in the draft
Connect each compliance requirement identified in the previous step to its corresponding source specification in the draft. This task ensures accurate mapping and traceability. The desired result is a linked compliance matrix.
1
Requirement 1
2
Requirement 2
3
Requirement 3
4
Requirement 4
5
Requirement 5
1
Specification A
2
Specification B
3
Specification C
4
Specification D
5
Specification E
Approval: Draft Review
Will be submitted for approval:
Create a draft of the compliance matrix
Will be submitted
Revise the draft according to feedback
Incorporate feedback received during the review of the draft compliance matrix. This task ensures continuous improvement and alignment with stakeholder expectations. The desired outcome is an updated version of the compliance matrix.
Identify and document any ambiguous or unclear requirements
Identify and document any requirements that are ambiguous, unclear, or incomplete. This task helps clarify requirements and eliminates any potential confusion later in the process. The desired outcome is a list of identified ambiguous requirements.
Approval: Ambiguous Requirements
Will be submitted for approval:
Identify and document any ambiguous or unclear requirements
Will be submitted
Rework ambiguous requirements and update matrix accordingly
Revise the compliance matrix to address the ambiguous requirements identified in the previous step. This task ensures clarity and accuracy in the matrix. The desired result is an updated compliance matrix with revised requirements.
1
Requirement 1
2
Requirement 2
3
Requirement 3
4
Requirement 4
5
Requirement 5
1
Specification A
2
Specification B
3
Specification C
4
Specification D
5
Specification E
Confirm that all the identified requirements are included and correctly referenced
Cross-check the compliance matrix to ensure that all identified requirements are included and correctly linked to their source specifications. This task enhances the integrity and completeness of the compliance matrix. The desired outcome is an accurate compliance matrix without any missing or incorrectly referenced requirements.
1
Requirement 1
2
Requirement 2
3
Requirement 3
4
Requirement 4
5
Requirement 5
Finalize the compliance matrix
Review and finalize the compliance matrix, ensuring its completeness, accuracy, and alignment with all relevant compliance requirements. This task serves as the last step before formalizing the compliance matrix. The desired outcome is a final version of the compliance matrix ready for approval.
1
Check for completeness
2
Check for accuracy
3
Ensure alignment with requirements
4
Ensure clear mapping
Approval: Final Compliance Matrix
Will be submitted for approval:
Finalize the compliance matrix
Will be submitted
Record the approved compliance matrix in the project records
Record and document the approved compliance matrix in the project records for future reference. This task helps maintain a historical record of the compliance matrix. The desired outcome is the compliance matrix stored in the project records.
Communicate the approval of the compliance matrix to stakeholders
Inform relevant stakeholders about the approval of the compliance matrix. This task ensures transparency and keeps stakeholders informed about the compliance status. The desired outcome is effective communication of the compliance matrix approval.
Store the compliance matrix in a relevant and accessible location
Securely store the compliance matrix in a location that is easily accessible to authorized personnel. This task guarantees the availability of the compliance matrix when needed. The desired outcome is the compliance matrix stored in a relevant and accessible location.
