Workflow Template

Compliance Incident Management Workflow

Manages compliance incident reports end-to-end: intake and acknowledgement, severity triage with senior management escalation for high-severity incidents, investigation by the incident owner, compliance manager review with rework loop, optional external notification tracking, corrective action closure, and final notification to the reporter.

When a compliance incident is reported, someone still has to acknowledge it, work out how serious it is, get the right people involved, and chase corrective actions through to closure. This workflow handles that end-to-end: it logs the report, sends an acknowledgement with a reference number, routes severity assessment and investigation tasks to the right people, escalates high-severity cases to senior management, loops findings back for rework if the compliance manager isn't satisfied, and tracks any external notification before closing the loop with the reporter. Day-to-day, the team just works through their assigned tasks while the record's status and timeline show exactly where each incident stands.

Business Outcomes

Helps reduce delays between incident report and initial acknowledgement
Supports faster escalation of high-severity incidents to senior management
Makes it easier to track investigation findings and corrective actions in one place
Reduces manual follow-up by routing rework and notification tasks automatically
Improves visibility into where each incident stands via status and timeline

Workflow Steps

Steps

1
Create Incident Recordcreate record
Registers the submitted report as a compliance incident record.
2
Set Status to Reportedupdate record
Sets the incident status to Reported immediately after intake.
3
Send Acknowledgement Emailsend email
Emails the reporter an acknowledgement with their reference number.
4
Compliance Officer: Assess Severitycreate task
Assigns the compliance officer a task to record severity and assign an incident owner, due in 2 days.
5
Save Severity and Ownerupdate record
Persists the severity level and incident owner to the record.
6
Route on Severity
Escalates to senior management if the incident severity is High.
severity: "High"→Create Senior Management Escalation Task
Default→Set Status to Under Investigation
7
Create Senior Management Escalation Taskcreate task
Creates a fire-and-forget escalation task for senior management, due in 1 day, for High severity incidents.
8
Set Status to Under Investigationupdate record
Sets the incident status to Under Investigation before the investigation task begins.
9
Incident Owner: Investigatecreate task
Assigns the incident owner a task to record findings, external notification requirement, and corrective actions, due in 10 days.
10
Save Investigation Findingsupdate record
Persists the findings, notification requirement, and corrective actions to the record.
11
Compliance Manager: Review Findings and Actionsrequest approval
Requests the compliance manager's approval of the investigation findings and corrective actions.
12
Route on Manager Approval
Routes forward if approved, or back to the incident owner for rework if rejected.
approval_status: "approved"→Route on External Notification Requirement
approval_status: "rejected"→Loop Back for Rework
Default→End
13
Loop Back for Reworkrestart from step
Sends the incident back to the incident owner to revise findings and actions, up to 2 rework cycles.
14
Route on External Notification Requirement
Checks whether external notification is required before proceeding to closure.
external_notification_required: "Yes"→Set Status to Pending Notification
external_notification_required: "No"→Incident Owner: Confirm Corrective Actions Completed
Default→Incident Owner: Confirm Corrective Actions Completed
15
Set Status to Pending Notificationupdate record
Sets the incident status to Pending Notification before the notification task begins.
16
Compliance Officer: Record External Notificationcreate task
Assigns the compliance officer a task to record who was notified and when, due in 3 days.
17
Save Notification Detailsupdate record
Persists who was notified and the notification date to the record.
18
Incident Owner: Confirm Corrective Actions Completedcreate task
Assigns the incident owner a task with no due date to record the corrective actions completed.
19
Save Corrective Action Completionupdate record
Persists the completed corrective actions to the record.
20
Set Status to Closedupdate record
Sets the incident status to Closed now that corrective actions are complete.
21
Send Closure Email to Reportersend email
Emails the reporter to confirm the incident has been closed.

Fields

Show all 16 fields

FormCompliance Incident Report

Reporter Name*· Text
Reporter Email*· Email
Incident Description*· Long text
Date Incident Occurred*· Date
Affected Area / Department*· Text
Immediate Containment Taken· Long text
Supporting Evidence· File upload

TaskCompliance Officer: Assess Severity

Severity*· Choice
Incident Owner*· Text

TaskIncident Owner: Investigate

Investigation Findings*· Long text
Is External Notification Required?*· Choice
Corrective Actions Proposed*· Long text

TaskCompliance Officer: Record External Notification

Who Was Notified*· Text
Date of Notification*· Date

TaskIncident Owner: Confirm Corrective Actions Completed

Corrective Actions Completed*· Long text

Other fields

Incident Status· Choice

Reporter Name*
Reporter Email*
Incident Description*
Date Incident Occurred*
Affected Area / Department*
Immediate Containment Taken

Forms

Compliance Incident Report

7 fields

Data Views

Compliance Incidents

affected_area, date_occurred, severity, incident_status

Dashboard Widgets

Incidents by Status

Recommended integrations

Setup the following integrations to extend workflow capability.

Send email in the workflow
AWS SES

compliance incidentcompliance breachregulatory breachpolicy violationcompliance management

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Governance & Compliance Risk Management Quality Management

FAQs

Do I need technical skills to set this workflow up?

No, the incident management workflow is a ready-to-use template, so a workspace can publish it and start taking incident reports within minutes. There's no installation or development project involved, and adjustments are made by describing changes in plain English or editing steps directly in the workflow editor.

Can my team customise the severity levels or task deadlines?

Yes, you can adjust details like task due dates, the wording of tasks, or how severity routes by editing the workflow steps directly, or by describing the change you want in plain English. Earlier versions of the workflow are kept, so you can see how it has evolved over time.

Who is actually involved in handling an incident?

The compliance officer assesses severity and assigns an incident owner, then later records any external notification details. The incident owner investigates and proposes corrective actions, and also confirms once those actions are completed. The compliance manager reviews the findings and corrective actions before the incident can move to closure.

What happens if the compliance manager rejects the findings?

If the compliance manager doesn't approve the investigation findings and corrective actions, the incident is routed back to the incident owner for rework, up to two cycles. This keeps a clear record of each round of review on the incident's timeline, so nothing gets lost between revisions.

How does a high-severity incident get escalated?

Once the compliance officer records severity as High, the workflow automatically creates an escalation task for senior management, due in one day. This task is fire-and-forget, meaning the main incident process continues into investigation without waiting on it, while the escalation notes stay attached to that task.

Is this suitable for incidents that don't need external notification?

Yes, the workflow checks whether external notification is required based on what the incident owner records during investigation. If it's not required, the incident skips straight to the corrective action confirmation step, so simpler incidents don't get held up by unnecessary tasks.

Does the person who reported the incident need an account?

No, reporters take part entirely through a public request form and any follow-up forms emailed to them, with no account needed. They receive an acknowledgement email with their reference number after submitting, and a closure email once the incident is resolved.

How do we know the status of an incident at any point?

Each incident is a record with its own reference number, a current status such as Reported, Under Investigation, Pending Notification or Closed, and a full timeline of what has happened. Table views and dashboards let your team see incidents grouped by status, so you can spot what's outstanding at a glance.

Does this workflow make our business compliant with regulations?

The workflow records the statuses, task entries and timeline for each incident, which supports your team's internal process and documentation. Whether that meets your specific regulatory obligations is something each business needs to confirm for itself.

Ready to use this workflow?

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