Governance & Compliance
Governance and compliance workflow templates for policies, declarations, audits and investigations. They cover policy review, acknowledgement and exceptions, conflict of interest and gifts declarations, compliance attestations, internal audits and finding remediation, regulatory change, whistleblower reports, compliance incidents, records retention and document review, with every decision kept on the record.
Benefits
- Keep policy reviews, approvals and acknowledgements on one record
- Collect declarations and attestations from staff by email
- Track audit findings through remediation to closure
Common Use Cases
Governance & Compliance Templates(22)
Policy Review and Approval Workflow
Manages a policy from owner submission through stakeholder review, optional legal/compliance review, revision loops, approval authority sign-off, and publication, keeping organisational policies current.
Policy Acknowledgement Workflow
Collects a policy owner's request to have a recipient acknowledge a policy, sends the recipient a form to confirm they have read and understood it, tracks acknowledgement status and due date, and notifies the policy owner at each stage.
Conflict of Interest Declaration Workflow
Captures conflict-of-interest declarations, routes them through compliance risk assessment, senior manager approval for medium/high risk, declarant acknowledgement of agreed management actions, and closure once the conflict no longer exists — with full status tracking throughout.
Internal Audit Workflow
End-to-end internal audit process: intake of audit details, fieldwork with findings and rating, management response from the area manager, report finalisation, head of audit approval with rework loop, follow-up verification of corrective actions with re-check loop, and closure notifications.
Whistleblower Reporting Workflow
Confidential intake, triage, investigation and closure workflow for whistleblower misconduct reports, with optional anonymity, compliance officer triage, investigator findings, compliance manager approval with rework loop, remediation tracking, and reporter notifications where contact details were shared.
Compliance Attestation Workflow
Collects staff compliance attestations per campaign respondent, routes exceptions to a compliance reviewer for a remediation decision, tracks remediation actions to completion, and keeps status, table view and dashboard reporting current throughout.
Audit Finding Remediation Workflow
Tracks an audit finding from initial logging through remediation, extension requests, evidence review, and closure, coordinating the audit owner, responsible owner, audit committee, and reviewer until the finding reaches a final closed or reopened-and-reclosed state.
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.
Contract Renewal Workflow
Manages the end-to-end renewal process for expiring contracts: intake from the contract owner, reviewer performance/risk assessment, optional renegotiation, commercial and legal approval (with a bounded rework loop on rejection), storage of the signed renewal, or termination notice issuance if the contract is not renewed.
Contract Review and Approval Workflow
Captures a new contract from the owner, routes it through legal review (with owner revision loop), finance approval for high-value contracts, final approver sign-off, and execution/storage of the signed contract — tracking status throughout.
Contractor Onboarding Workflow
Coordinator submits contractor details and documents, compliance officer checks documents, worker completes site induction, site manager approves site access, and security grants access — tracking status from Submitted through to Onboarded or Rejected.
Data Breach Response Workflow
Manages the end-to-end response to a suspected personal/sensitive data breach: intake and acknowledgement, investigation, privacy/legal review and notification decision, regulator/individual notification if required, remediation, and closure — with status tracking throughout.
Data Subject Access Request Workflow
Manages a data subject access request end-to-end: intake and acknowledgement, identity verification (with a re-request loop), records search and redaction (with a rejection rework loop), privacy officer approval, secure delivery, and completion notification.
Document Review and Approval Workflow
End-to-end intake, review, revision, approval, publication and staff-acknowledgement workflow for controlled documents (policies, procedures, plans, forms), with status tracking, reviewer/author/controller/HR tasks, owner approval gate, and notifications at each key stage.
Gifts and Hospitality Declaration Workflow
Captures gifts, hospitality, travel and other benefit declarations, auto-records low-value items, and routes higher-value declarations to a compliance officer for approval before recording in the register.
Marketing Content Approval Workflow
Manages marketing content submissions (blogs, emails, social posts, web pages, adverts, other) through editorial review, brand review, optional revision loops, optional compliance approval for legally-sensitive content, and publishing — with owner notifications at each key milestone.
Policy Exception Request Workflow
Manages requests to deviate from organisational policy: intake, risk assessment, risk-based approval routing (policy owner for low risk, compliance manager for high risk), notification of outcome, and an expiry review with renewal or closure.
Privacy Impact Assessment Workflow
Manages privacy impact assessments end-to-end: intake of an initiative, privacy officer screening, full assessment by a privacy assessor when required, officer approval with rework loop, owner acceptance of residual risk, and closure with next review date tracking.
Records Retention and Disposal Workflow
Manages review and disposition of records that have reached their retention date: intake, owner review for legal hold, manager approval for disposal, and execution of dispose/archive/legal-hold outcomes with status tracking and notifications.
Regulatory Change Management Workflow
Manages implementation of new or changed regulatory requirements from intake through applicability assessment, gap analysis, implementation, and reviewer sign-off, with status tracking throughout.
Supplier Risk Assessment Workflow
Collects a supplier risk assessment request, runs due diligence and (where applicable) security/privacy review, captures risk reviewer treatment and residual risk, routes it through risk manager approval with up to two rework cycles, and notifies the requester of the accepted outcome.
Workplace Complaint and Investigation Workflow
Manages confidential intake, triage, investigation, and resolution of workplace complaints (bullying, harassment, discrimination, misconduct) with HR triage, investigator findings, HR manager approval of recommended actions, and reporter notifications at each closure point.
Frequently Asked Questions
What Governance & Compliance workflow templates are included?
Governance & Compliance includes templates for policy review and approval, policy acknowledgement, policy exception requests, conflict of interest and gifts and hospitality declarations, compliance attestations, internal audits, audit finding remediation, regulatory change management, compliance incidents, whistleblower reporting, records retention and disposal, and document review and approval.
Who are the Governance & Compliance templates for?
They're designed for compliance officers, governance and risk teams, company secretaries and HR in organisations of any size. Staff complete declarations and attestations through emailed forms, and reviewers record their decisions on tasks.
Can I change a governance and compliance template to suit my organisation?
Yes. Publish the template and it runs straight away, with no installation. Describe the change in plain English — for example, add a second approver for high-risk policies — or edit the steps in the workflow editor. Earlier versions are kept.
Will these templates make our organisation compliant?
They help you keep consistent records — declarations, approvals and review outcomes, with a timeline for each record. Each organisation should confirm the legal and regulatory obligations that apply to it and adjust the templates to match.