Conflict of Interest Declaration Workflow

What happens if the compliance officer determines there's no conflict?

If the risk rating is set to 'No conflict', the workflow sets the declaration status to No Conflict Found and sends the declarant an email notifying them of that outcome. The declaration record retains the full timeline of the assessment for future reference. No manager approval or acknowledgement step is triggered in this path.

What happens if the senior manager rejects the proposed management actions?

When the manager's decision routes to rejected, the compliance officer gets a task, due in 2 days, to record revised management actions. Those revisions are saved to the record and automatically sent back to the senior manager for re-approval. This loop continues until the manager approves the actions.

Can this handle both low-risk and high-risk declarations differently?

Yes, the workflow routes declarations differently based on the risk rating the compliance officer assigns. No conflict cases close out immediately with a notification, while Medium and High risk cases are sent to a senior manager for approval of proposed management actions. Low risk declarations follow their own path based on how the risk rating is set.

What if the declarant doesn't respond to the acknowledgement request?

The declarant receives an email with the agreed management actions and a request to acknowledge, with an optional comment field. The declaration record shows the status as Awaiting Acknowledgement until that response is submitted and saved. This status is visible in table views and dashboards so teams can follow up on outstanding acknowledgements.

Who is responsible for closing a declaration?

The compliance officer is assigned an undated task to close the declaration once the conflict no longer exists. They record a closure date and closure notes, which are saved to the record before the status changes to Closed. The declarant is then emailed a closure notice.

Can we customise the risk assessment or approval steps?

Yes, workflows can be changed by describing the change in plain English or by editing the steps directly in the workflow editor. For example, a workspace could adjust the risk rating options, change task due dates, or add fields to the declaration form. Earlier versions of the workflow are kept, so changes can be reviewed over time.

What if a declaration needs to be tracked across multiple departments?

The request form captures Department and Role fields, so each declaration record carries that context from submission. Table views and dashboards show records by status, making it possible to filter and review declarations across departments. Tasks and approvals are assigned to individual team members regardless of department.

Does the declarant need to create an account to submit or respond?

No, declarants take part through a public request form for the initial submission and through forms emailed to them for the acknowledgement step. They never need to log in or create an account at any point in the process.

What information does the workflow keep on record for each declaration?

Each declaration is stored as a record with a reference number, a status, and a timeline showing what happened at every step, including the risk rating, proposed and revised management actions, acknowledgement responses, and closure details. Businesses should confirm their own record-keeping obligations, but this timeline provides a clear audit trail of decisions and actions taken.

Can supporting documents be attached to a declaration?

Yes, the request form includes a field for Supporting Documents, which is captured and saved to the declaration record at submission. This keeps evidence tied to the record alongside the risk assessment and approval history.