Do your compliance tasks

For anyone given a compliance control to look after: see what proof is needed, attach it, send it for review, and deal with anything sent back.

For: Control ownersPlan: Advanced

Before you start

Your compliance lead has assigned at least one control to you. A control is one rule your company has to show it follows; the proof is called evidence. Both words are in Words used in these guides.
You can see My WorkMy Compliance Tasks in the left menu.

Step 1: Open My Compliance Tasks
Go to My WorkMy Compliance Tasks. Tiles at the top count what is “Assigned”, “Approved”, “In review”, “Needs attention”, “To do” and “Due soon”.
Step 2: Narrow the list
Click one of the labels above the list, “To do”, “Needs attention”, “In review”, “Approved” or “Due soon”, to see only those. “All” shows everything again.

Step 3: Open a control
Click the arrow at the start of a row. Two columns open. “1 · WHAT THE AUDITOR WANTS” states the “EVIDENCE REQUIRED” and explains the control. “2 · GET THE EVIDENCE” shows how to collect it, with steps under “COLLECT IT YOURSELF” where there are any.
Step 4: Attach the file
Click “Attach evidence” on the row and pick the file, or drag the file onto the box that reads “Drag a file here or click to attach evidence”. The button changes to “Attached”.
Step 5: Send it for review
Click “Submit for review”. To send several controls at once, tick them and click “Submit N for review” above the list.

Step 6: Read what was asked
A control that was sent back is counted under “Needs attention”. Open it: a line starting “Auditor asked” quotes the reviewer’s note. Attach what is missing and click “Submit for review” again.

A second person reviews what you send. By default you cannot approve your own control. Until they decide, the control stays “In review”.

After you submit, the row shows “Awaiting review” and the control is counted under “In review”.

Once the reviewer accepts it, it is counted under “Approved”.

"You have no compliance work assigned right now.": No control has you as its owner. There is nothing to do. If you were expecting some, ask your compliance lead.
"Nothing matches this filter.": None of your controls is in that state. Click Clear filter.
You do not know what file to attach: Open the control and read EVIDENCE REQUIRED and the steps under COLLECT IT YOURSELF. If it is still unclear, ask your compliance lead before you submit.
You attached the wrong file: Attach the right one and submit again. If the control is already in review, tell the reviewer so they send it back to you.
There is no My Compliance Tasks entry in your menu: Either your company’s plan does not include the Compliance Hub, or your role does not let you see assigned compliance work. Ask your administrator.