TAP Co-Innovation Center
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Check out the ForumWelcome to the TAP Co-Innovation Center!
Whether this is your first time in the Center or your 2,000th, there’s always new insight to be gained.
The TAP Co-Innovation Center is repository for TAP Clients that is designed to allow you to browse the workflows that your industry peers are working on, learn from the expertise of others, and share your successful Workflows.
This page allows you to:
- Share workflow ideas and use cases by submitting workflows (these can be shared anonymously)
- Capture and share co-innovative ideas between employees and partners who are in your TAP Legal Ecosystem
- Download Mitratech’s Gold Standard Workflows , import into your environment, and customize it as needed
- TAP Workflows can be shared via Mitratech’s own TAP Submission Workflow with simple, one-click import-and-export feature
Check out what’s already been submitted
The tables below house workflows that have already been submitted by customers and partners, as well as our downloadable Mitratech Gold Standard workflow templates.
Customer and Partner Submitted Workflow Templates |
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| Marketing | Legal | Legal Compliance | Legal Operations |
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Mitratech's Gold Standard Workflow Templates |
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| Legal - Services, Compliance | Rapid Response and Business Continuity | Policy, Compliance | HR |
EMEA Customer Reference Agreement
KPL on behalf of Netapp – Marketing
Description: Before TAP, sales reps would send a PDF (via email) to customers asking if they would provide referrals. Monitoring the approvals process was tricky and the Reference Program lacked a good end user experience.
Benefits:
- Streamline processes, PDFs no longer live on desktops
- Fully integrated with Adobe and allows instant customer signing experience
- View TAP form in dominant language depending on geography
Cool Features: Text sets (translation), eSignature, CSS and good use of logos
Want to know more about the use case? Contact - Tarryn Puzsar
Legal Marketing Review
Autodesk - Legal Marketing
Description: Marketing and Product Marketing require legal approval for a variety of projects such as Blog post or Press Release, Contest or Giveaway, Policy or Guidelines, Marketing or Sales Promotion, etc. Before this workflow was implemented, Marketing involved Legal in their review processes in an ad hoc manner.
Benefits:
- Automated system ensures the correct reviewer is always looped into the process.
- Legal team no longer spends time “gathering resources” because the appropriate people and processes are automatically suggested and included.
- Reviewers are automatically suggested from a data source and reviews happen simultaneously to speed up the process.
Cool Features:
- The high volume of simultaneous review is handled with extensive use of conditional parallel workflows combined with auto-skips.
- The Sales Promotion process leverages the “Collaboration Stage” feature and has its own independent logic to handle more specialized and customized processes.
Go-Live: May 2020
HCC Request
Marketing
Description: We use TAP Workflow for physician event registration, contract generation, and invoicing.
Cool Features: eSignature
Go Live Date: 06/01/2019
Advertising Review Process Workflow
IDEXX Laboratories – Marketing
Description: This workflow identifies what needs to be submitted for approval, who needs to review and approve before reaching Legal with the right supporting documents. Originally, there was not a clear understanding of what needed Legal approval and who needed to approve prior to reaching Legal.
Cool Features: Complex routing, Elegant user interface, Time-based Escalations, detailed audit history and ability to see exactly what stage the workflow is at (so beneficial).
Go Live: 02/15/201
Want to know more about the use case? Contact - Sue Etsy-Angell
New Law Firm Request
Verizon Media – Legal
Description: New law firm on-boarding approval workflow.
Benefits:
- Collecting information about the new law firms
- Centralizing approvals
- Fewer emails
Go Live Date: 07/01/2018
Want to know more about the use case? Contact - Kyle Martin
Legal Department Service Request
Hyundai - Legal
Description: Any internal business unit or vendor can access the advice and counsel of Hyundai’s legal department through this TAP workflow. Before this process was automated, requests went through email, which could be lost.
Benefits:
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Information is captured in TAP and sent via API to TeamConnect.
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TAP UI captures all relevant information with mandatory fields, ensuring the audit trails have the necessary levels of detail, and details are clean, clear and consistent.
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No one outside of Legal has access to Team Connect, but all information is still sent there: TAP ensures security and usability while also preventing the wrong people from accessing their main system.
Cool Features: True two-way integration between TAP and Team Connect.
Legal Tracker Request Form
Gap Inc. – Legal
Description: We originally created new matters in Legal Tracker (our eBilling tool) manually using excel spreadsheets. The requests and approvals were received via email - the turn-around time averaged 2-3 weeks.
Benefits:
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Post automation, the average turn-around time for creating a new matter in Legal Tracker is now 1-2 days
Cool Features: APIs and Formulas
Go Live Date: 08/01/2018
Want to know more about the use case? Contact - Devshree Chauhan
CASE Workflow
IDEXX Laboratories – Legal
Description: Workflow minimizes complexity of contract approval and signing. Selected fields limit options for who can approve and sign the contract.
Benefits:
- Speed, clarity, and avoiding excess emails out of Outlook
- Voting buttons
Cool Features: Complex routing, Parallel workflows, Thought Matrix Cole developed is impressive.
Go Live: 02/28/2019
Want to know more about the use case? Contact - Andy Cooper
Company Car Workflow
Hyundai - Legal
Description: Before this TAP workflow, the family members of a Hyundai employee would mail in accident reports to a Hyundai case manager, who would then type the information into their case tracking system. With TAP, the onus is on the requester to fill out a form with the appropriate information, significantly reducing the amount of time needed to complete a request.
Benefits:
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Conditional routing sends the right cases to the right people
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TAP UI is easy to use and gather the right information the first time, without extensive back and forth in emails
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Information submitted in TAP integrates in Team Connect, where matters are handled.
Cool Features: Team Connect integration, webform conditional logic.
Ask Legal
Legal
Description: Based on criteria we auto-assign the appropriate Legal resource.
Benefits:
- Centralized Legal resource: Non-legal personnel unclear of who to reach out to, this workflow creates one centralized portal for all Legal related requests
- Turnaround time: Previously a person constantly managed an inbox, now most requests are assigned directly, cutting out this “middle man,” resulting in faster response times.
- Audit Trail of assignments/requests outside of email
- Clearer visibility on what requests are from the Dashboard view
Cool Features: Integration, complex routing, integrations with SFDC to create Apttus records automatically, Complex routing of assignments across global Legal team based on intake form criteria
Want to know more about the use case? Contact - Alaura Jacobs @ Mitratech
Go-Live: 8/1/2017
Ask a Librarian
Gilead Sciences - Legal
Description: Gilead’s legal librarians know the ins and outs of their CLM system and can find any and every contract and get about 100 questions per week. With this TAP workflow, there is a consolidated place to ask about a contract’s location, status, expiration date, etc. Conditional logic and routing verifies whether questions can be answered by a built-in FAQ section and if not ensures that the question is pushed to the appropriate person for review.
Benefits:
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Conditional logic brings out the complexity of the requester’s question, and after determining whether or not outside help is needed, triages the questions to the appropriate reviewer in the appropriate country and/or time zone.
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Updates or enhancements to the form are addressed quickly and easily by the Legal Team, without relying on IT.
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One-stop shop for employees to ask questions about contracts without having to spend time or effort figuring out the right person to ask or thumbing through a complex CLM system themselves.
Signature Delegation Workflow
Legal
Description: Previously, signature delegations were only captured in email and there was no streamlined process of who the email was sent to. Company signatories were unaware of how to grant a delegation and the general delegation policy.
Benefits:
- With a centralized repository of all delegations, it is easier for Legal to keep track of routing contracts.
- Groups outside of delegations, like procurement, are automatically notified too.
- There is now a captured audit trail of delegation that justifies that whoever signs is authorized.
Want to know more about the use case? Contact - Alaura Jacobs @ Mitratech
Go Live Date: 11/30/2019
Subsidiary Signature Workflow
Autodesk - Legal
Description: Corporate paralegal triages documents (Power of Attorney, Board Resolutions, etc) for signature through the standard DocuSign process or provides steps and processes to capture wet signatures.
Previously, Legal Ops would download the relevant documents, upload to DocuSign to be routed and signed by the appropriate signatory, and after signature downloaded once more and emailed to appropriate parties. The complexity of the process created opportunities for error.
Benefits:
- Automated process and tight integration with DocuSign means that after the request form is submitted, information smoothly moves from the requester to the appropriate place, whether straight to DocuSign or to a more in-depth wet-signature process
- Fewer clicks are needed to get contract sent through DocuSign
- Required fields, form pre-population, and form logic ensure that the requester submits accurate and appropriate information -- no more emails and questions back and forth between the requester and legal.
- Auditable and trackable
NDA Request
Shaw Industries - Legal
Benefits:
- eCounsel integration improves matter management for agreements.
- Fewer touchpoints.
- Handling of documents due to an automated, streamlined process.
Cool features: eSignature, integration with eCounsel
Go Live Date: 11/15/2019
RFP
Gap Inc. - Legal
Description: An RFP software solution was necessary to streamline and automate work to help maintain the increasing number of organizational RFP's. The tools that the team evaluated were too expensive, would take too long to implement, or had too many features. TAP was chosen as it contained the right amount of power and was simple to implement.
Benefits:
- Took only 8 hours to go live with TAP - from preparing and white-boarding the process to sending out RFP requests.
- Ensures instructions, agreements, evaluation forms, and any required fields are in the form for a lawyer to fill out.
- Automatically customized email text guarantees accurate information is sent to the law firm every time - and the law firs no longer question it.
- Saves time training employees and law firms by using the TAP platform.
Cool features: Checkbox verification, automatic reminders, e-signatures, integration, audit trail, and reporting capabilities.
Instant SOC2
Legal
Description: Previously, when a SOC2 report was requested, the Legal Department would manually check to see if an NDA was in place and if it was not, send an NDA for signature before sending the report. With TAP, this process is automated.
Benefits:
- Automated method for confirming whether an NDA is in place
- If NDA is not in place, "Instant NDA" is automatically triggered
- Public and Internal Forms are both available, so external users can request reports as well
Cool Features: DocuSign, Anonymous Access (which enables non-employees to request reports through TAP)
Approx Go-Live: 6/30/2019
I wish I had known before building this workflow: Should have set up Anonymous Access simultaneously with Internal form given the rules about using separate fields, not having any overlapping conditions, etc.
Want to know more about the use case? Contact - Alaura Jacobs @ Mitratech
Subsidiary Management Workflow
IDEXX Laboratories – Legal Compliance
Description: Streamlined portal of incoming subsidiary related requests.
Benefits:
- Visibility
- Easy to assign work accordingly
- Metrics and reporting
- Eliminates group mailbox/outlook
Cool Features: Complex routing, Slick triggering events that make a simple request incredibly detailed.
Go Live Date: 9/1/2018
Want to know more about the use case? Contact - Andy Cooper
Conflict of Interest
Legal Compliance
Description: Captures an audit trail of Conflict of Interest (COI) approvals - Previously approvals/rejections were captured in long email threads. This workflow provides a summary form at the end and all the forms are automatically uploaded to a Box folder for easy access.
Benefits:
- Clear Audit Trail
- Limit Access for Confidentiality
- Summarized form auto-uploaded to Box
- Time-saver
Cool Features: Document Generation, Complex routing; Based on intake form criteria there are about 7 different paths the workflow can take. In addition, the workflow can be kicked back to the initial requester and potentially send through the process multiple times if additional info is required.
Want to know more about the use case? Contact - Alaura Jacobs @ Mitratech
Go Live Date: 11/7/2018
Conflict of Interest Disclosure
Autodesk – Legal Compliance
Description: Compliance’s old process for evaluating conflict of interest disclosures was done entirely through email and logged manually in Smartsheet. This caused our Compliance attorneys to be bogged down with emails, especially since Autodesk’s approval process can require up to 9 levels of approval depending on the person’s grade level at the company. Results had to be input manually into the Smartsheet and documentation was saved ad hoc in OneDrive.
Benefits:
- Visibility into disclosure statuses in one place
- Elimination of manual entry of final approval parameters
- Automated reminders to approvers
- Collection of approval documentation in dashboard
- Saves valuable compliance hours
Go Live Date: 09/01/2018
Want to know more about the use case? Contact - Tamara Cook
Pre-Clearance Stock Trading Form
Legal Compliance
Description: This workflow was created and rolled out in ONE DAY!
Before the Pre-Clearance Trading workflow was implemented, the General Counsel (GC) would send quarterly emails to the Board of Directors and VPs with information on blackout trading dates. This email could include a form to be printed, filled out, scanned, and then returned to the GC for approval. Once the GC approved, it was sent to a stock admin for final approval.
There were two possible approvers, and sometimes both would spend time reviewing the same request and there was no way for either approver sees the actions of the other.
With TAP, the quarterly email includes a link to the request form where it is then filled out online, and automatically triggers a return to the GC and then to the admin for final approval. After final approval, an automatic email notification goes out to the recipient.
Benefits:
- Audit trail is captured in one place
- Approvers do not duplicate efforts because there is visibility as to whether someone is already working on reviewing the request
- There is no longer a need to print, sign, or scan documents
Cool Features: eSignature
Go-Live Date: 05/28/2019
Vendor Onboarding with Privacy Reivew
KPL – Legal Compliance
Challenge: Design and launch online forms and workflows vendors can easily complete in order to streamline onboarding and ensure compliance with any and all data privacy regulations.
Solution:
- Create easy-to-use vendor onboarding form that tracks, triages, and automates vendor requests.
- Workflows and forms can be easily created in TAP's drag-and-drop interface, specifying routing, stakeholders, and notifications in every stage.
- Ensure that your company's data governance standards are applied throughout the requests, from initial screening throughout the requests, from initial screening through audit trail capabilities.
- Modify or update on the fly - a crucial factor in staying compliant with ever-evolving rules and regulations.
Benefits:
- Using a single database and environment brings standardization and centralization, with ready-made security and compliance.
- Documents and files that are relevant to each collaboration are centralized in one repository, not scattered with poor version control.
- All collaborators involved at the correct time and in authoritative sequence.
- Process repeat correctly every time, in a standardized way, no matter how complicated.
- Far higher security for sensitive process that cross-organized lines.
- Central dashboard provides superior monitoring and governance of all sourcing process.
ROI:
- Compliance: With TAP, documents are never lost or accidently mis-routed. IDC says workers waste 21% of their time searching for lost documents or handling other document-related issues and 7.5% of all company documents are lost completely.
- Time: Automating notifications with TAP can save serious money. If an employee paid $50/hr takes half an hour to write each of 5 notifications per workday, it adds up to $6,000 a year you're paying one worker for repetitive work. And this quickly adds up when more people are involved.
Want to know more about this use case?
- Keesal Propulsion Labs (KPL), a premier TAP Services Expert, and Mitratech, the provider behind TAP Workflow Automation, have been leaders in deploying workflow automation to solve the short- and long-term challenges of data privacy regulation like GDPR and CCPA for companies.
- Ask Tarryn Puzsar a question or reach out to your Account Manager for more information about this use case.
Data Inventory and Recertification Request
KPL - Legal Compliance
Description: GDPR Article 30 requires companies to produce records of processing activities to prove compliance to regulators. With TAP Workflow Automation, it’s easy to compile this information through parallel workstreams that operate at automated and approved intervals.
Challenge:
- Organize and orchestrate a process by which data from SMEs, legal review, and inquiry is tracked, compiled, and bundled, ensuring compliance with GDPR Article 30 and guaranteeing recertification.
Solution:
- Self-service online forms are easily deployed and contain embedded business logic that maps exactly to your business practice (or responds to the call for a new business practice).
- Keep it on brand by employing a solution that can deliver styles straight from your brand guide, customize intake forms to automated emails and “thank you” notifications.
- Process transparency can be enabled, if desired, to allow greater visibility and collaboration for all parties.
- Centralization eliminates redundancies in documentation and data.
- Ensure that your company’s data governance standards apply throughout the requests, from initial screening through audit trail capabilities.
- Workflows can be modified or updated on the fly, a crucial factor in staying compliant with ever-evolving rules and regulations.
Benefits:
- Using a single database and environment brings standardization and centralization, with ready-made security and compliance.
- Documents and files that are relevant to each collaboration are centralized in one repository, not scattered with poor version control.
- All collaborators involved at the correct time and in authoritative sequence.
- Far higher security for sensitive processes that cross organizational lines.
- Central dashboard provides superior monitoring and governance of all sourcing processes.
- Stylized and on-brand intake forms keep your customers in your brand experience at all times.
ROI:
- When working with compliance and data privacy regulations, ROI is calculated inversely in how-much-you-won’t-owe. Infractions and non-compliance with GDPR can cost a company 4% of their annual global revenue or €20 million – whichever is greater -- so this workflow’s ROI is a big sigh of relief.
- Give your employees an extra day every week: according to one McKinsey survey, employees spend 19% of their time searching for information to do their jobs correctly.
- Keep everything in one location with a full audit trail and automated responses, saving your employees a lot of time.
Want to know more about this use case?
- Keesal Propulsion Labs (KPL), a premier TAP Services Expert, and Mitratech, the provider behind TAP Workflow Automation, have been leaders in deploying workflow automation to solve the short- and long-term challenges of data privacy regulation like GDPR and CCPA for companies.
- Ask Tarryn Puzsar a question or reach out to your Account Manager for more information about this use case.
Data Subject Access Requests
KPL - Legal Compliance
Challenge:
- Design and launch a single form that can handle any and every CCPA, or similarly mandated consumer request, simultaneously ensuring compliance through automation and auditability.
Solution:
- Design and launch an easy to use customer facing form that tracks, triages, and automates consumer requests mandated by the upcoming regulations.
- Keep it on brand by employing a solution that can deliver styles straight from your playbook, from intake forms to automated emails and “thank you” notifications.
- Ensure timely follow up on your “follow ups.” If a request requires follow up within a specific time-frame, build in time-based escalations to keep yourself compliant and your customers satisfied.
- Workflows and forms can be easily created in TAP’s drag-and-drop UI, specifying routing, stakeholders, and notifications at every stage.
- Ensure that your company’s data governance standards are applied throughout the requests, from initial screening through audit trail capabilities.
- Workflows can be modified or updated on the fly, a crucial factor in staying compliant with ever-evolving rules and regulations.
Benefits:
- Using a single database and environment brings standardization and centralization, with ready-made security and compliance.
- Documents and files that are relevant to each collaboration are centralized in one repository, not scattered with poor version control.
- Stylized and on-brand intake forms keep your customers in your company’s experience.
- All collaborators involved at the correct time and in authoritative sequence.
- Processes repeat correctly every time, no matter how complicated.
- Far higher security for sensitive processes that cross-organizational lines.
- Central dashboard provides superior monitoring and governance of all sourcing processes.
ROI:
- Automatic responses to large volumes of requests give your employees back valuable time, and show your consumers that you take their privacy seriously.
- Leverage workflow to demonstrate compliance. If you’ve failed to delete a personal data record when requested, or it’s sold without the person’s permission, or leaked,the minimum fine is $2,500 per record. If it’s determined that a breach was due to a known issue ignored, the fine can automatically shoot up to its cap of $7,500 per record. Multiply this times the number of records that might be involved and you can see how noncompliance can get ruinously costly.
Want to know more about this use case?
- Keesal Propulsion Labs (KPL), a premier TAP Services Expert, and Mitratech, the provider behind TAP Workflow Automation, have been leaders in deploying workflow automation to solve the short- and long-term challenges of data privacy regulation like GDPR and CCPA for companies.
- Ask Tarryn Puzsar a question or reach out to your Account Manager for more information about this use case.
Instant Privacy Terms
Legal Compliance
Description: GDPR and CCPA regulations led to an increased volume of Data Processing Agreements (DPA), Business Associate Agreements (BAA), Controller-to-Controller, and California Consumer Privacty Act (CCPA) agreements being pushed through the Legal Department. This Instant Privacy Terms eliminates manual processing such as CLM record creation and signature processing of non-negotiated contracts.
Benefits:
- Pushes our company's paper to limit custom contracts
- Enforces company thresholds for other party paper review more easily
- Eliminates manual processing (CLM record creation, signature processing) of non-negotiated agreements
Approx Go-Live: 6/1/2019
Cool Features: SFDC Integration, DocuSign
Want to know more about the use case? Contact - Alaura Jacobs @ Mitratech
Sales Offer Workflow
Penumbra Inc. - Legal
Description: Before this workflow was implemented, it could take several days to obtain all the information and approvals needed to process a sales request and trigger a contract, but now most of these are processed (end to end) in less than a day, an 85% reduction in time. Depending on the sale, there can be 25 different variations of exhibits and offers to choose from (based on the offer type, products and pricing) each with their own path and offer language.
Benefits:
- High volume process (about 200 requests per month) means that anywhere from 1,000-1,400 hours can be saved, allowing the Legal team to focus on higher value work.
- Visibility into the process and its metrics means that managers can determine how many sales are standard (currently about 65%) and drill down to encourage more sales reps to use the standard process.
- When the Sales rep fills out the request form, their information triggers back-end tables that then populate form fields and drop-downs with the rep’s relevant information.
- This is especially important in this process because the hospitals with which Penumbra contracts can have similar or identical names to other hospitals in different regions. Legal save hours and reps are guaranteed accuracy with their accounts.
- When the hospital name is pulled in, for example, the ERP number also populates, as does the hospital address.
Cool Features: Pre-population of offers and Exhibits, DocuSign integration, automated emails to all interested parties, extensive backend data tables that pull in appropriate reviewers, etc.
Health Care Professional (HCP) Agreements and Invoicing
Penumbra, Inc -- Legal
Description: When physicians and other Health Care Professionals (HCPs) speak on behalf of Penumbra, a contract is needed and they may be compensated for their time, travel, and fees/expenses. It is important for this information to be fully managed and auditable as Penumbra depends on this information for annual reports regarding HCPs.
Benefits:
- Process is no longer managed manually through email but instead automated -- from the first request form to generate the contract to the DocuSign integration to sending the invoice to the HCP to complete to sending the approved invoice to AP for payment.
- Compliance team has full visibility into invoice lifecycles and can guarantee appropriate and timely follow-up if there are delays.
- Tagged documents and formulas to calculates total amounts mean that physicians no longer fill out invoices by hand nor manually calculate the total due - saving time and guaranteeing legibility.
Cool features: DocuSign integration, Document Builder automatically builds documents.
Insider Portal Lockouts
Capital One
Description: Before TAP, Capital One manually managed and tracked employee lockout notices. Workflow Automation enabled the legal operations team to easily partner with the Securities and other organizations to identify any associates or employees of the company with material knowledge and be able to control lockouts of accounts during key periods.
Benefits:
- Gather the right information across hundreds of employees in a completely auditable and trackable way
- Easily create and manage lists of key employees for initial requests
- Identify "downstream associates" with logic and automation
- Eliminate manual tasks and give time back to employees (requesters and responders)
Cool features: Complex routing, 3rd-party and API integrations
Non-Revenue Transaction Portal Workflow
Dolby – Legal Operations
Description: The NRTS Portal provides a single portal for the business to determine whether or not a contract and/or purchase order is necessary, per the risk thresholds of the corporate policy. Users are routed through the contracting process, and then routed to the procurement/PO tool.
Benefits:
- Single location for all non-revenue/spend transactions and engagements
- Enforces corporate policy in a manner that is mostly invisible to the user
Cool Features: Integrations, Complex routing, Elegant User Interface, Customer dashboard with search function
Go Live Date: 11/30/2017
Want to know more about the use case? Contact - James O’Neil
NDA Portal
VMware - Legal Operations
Description: Before TAP there was productivity loss, lack of document visibility, compliance issues.
Productivity Loss:
- Labor intensive manual signature process
- Longer overall contract signature process cycle time
- Frequent negotiations of NDAs
- Various touch points for employees to access NDAs
Document Traceability / Visibility:
- No visibility of contract signature status
- Lack of automated audit trail
Error-Prone / Compliance:
- Missing signatures/dates/pages
- Risk of alteration during the signature process
- No authentication of the signatory
- Premature disclosure of confidential information
Benefits:
- Ease of Doing Business:
- Nimble and agile process – capability to sign “anywhere/anytime”
- Single touch point access for NDAs
- Time Efficiencies and Cost Avoidance:
- Reduced steps for signers - shortened cycle time
- Reduction in negotiations (pre-signed PDF of NDA perceived as non-negotiable)
- Reduction in human error/tamper-proof documents
- Real-Time Visibility / Audit History / Compliance:
- Signature status tracked during the process
- Automated email reminders to signatories
- Complete audit trail of transactions
- Decreased exposure due to premature disclosure of confidential information
Cool Features: Integration with contracts repository, Developed in-house a mobile version of the NDA workflow
Want to know more about the use case? Contact - Rahul Chaudhary
Contract Automation Tool
Gilead Sciences - Legal Operations
Description: Contract generation has been automated through a TAP workflow that integrates directly with CLM system. Whenever anyone wishes to request a contract or new agreement, they fill out a TAP webform which immediately sends the captured data to the CLM system where the contract is generated and returned to the requester. If needed, TAP also determines the routing information and identifies who needs to be part of the approval.
Benefits:
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Any straightforward agreement (CDA, MSA, NDA, etc) can be self-service
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TAP interface is user-friendly and allows affiliates to interface with CLM without needing to be in that system.
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Proprietary risk formula is embedded in TAP workflow and determines riskiness of contract and therefore the fastest and safest flow --whether it must be approved by legal, or can go straight for signatures.
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Easy to clone the workflow for affiliate groups
Cool features: Integrations with e-Signature, CLM, and Salesforce; risk evaluation formula, complex routing.
Contract Management:
Contract Request Workflow, Contract Approval and Signature Workflow, and Supplier Setup Request Workflow
EA - Legal
Description: EA's complex Contract Management process expands the limits of TAP: the enormously complex process relies upon a number of discrete and interconnected workflows (not just one) to get the job done. The process bundles 3 separate workflows together: the Contract Request Workflow, the Contract Approval and Signature Workflow, and the Supplier Setup Request Workflow. Each of these individual workflows is connected to the others through conditional logic and a TAP property called child workflows.
Benefits:
- Sets complex processes along conditionally automated work streams so that the workflow moves forward only when certain requirements are met.
- The automatic workflow has the capacity to accommodate human error. If the wrong contract was uploaded or a delegate declines to sign, the workflow is "kicked back' to the business owner and re-sent after additional review.
- Eliminates manual data entry by passing relevant field information to future workflow fields, saving time and eliminating the need to go back to the requestor for the same information.
- TAP has a simple interface that is easy to use - if you can use Visio or other process mapping tools, you can easily learn TAP.
Cool features (Child Workflows explained): Although the process as a whole is unbelievably complex, child workflows allow this 3-part workflow to be broken down into smaller, manageable pieces. The Child Workflow feature enables information to be pushed between completely distinct workflows - not just between 2 stages in the same workflow.
For example, the Contract Request Workflow itself "kicks off" the Contract Approval and Signature Workflow, and in the baton-pass, the next workflow "inherits" previously submitted data. The process is broken into smaller workflow units, each workflow unit can easily handle new ideas, tweaks, testing, and troubleshooting.
Conflict Waiver Submission Tracker
Capital One -- Legal Compliance
Description: Before the Conflict Waiver Submission Tracker workflow was launched, it could take 35 days or more to turn around a conflict waiver approval for new engagements with law firms. The time-consuming back-and-forth frustrated law firms who wished to begin their engagements immediately. With a TAP workflow in place, the process was streamlined and each request is now completed in 3-4 days.
Benefits:
- Law firms now begin a request with a company-approved template, eliminating errors and additional reviews
- Requests are automatically routed to appropriate practice areas for an efficient review
- Condensed time-to-engagement in a critical process
- Fast turnaround generates stronger relationships with engaged law firms
Cool features: Form interfaces with external users (Anonymous Access feature), DocuSign integration
Mitratech's Gold Standard Workflows
Mitratech-engineered “Gold” workflows are easily downloaded – find one that fits your need, import it into your environment, and customize it to fit your company or department's needs.
Legal Service Request Portal
Click the workflow name to download the file to your computer!
Workflow Name: Legal Service Request
This workflow is used: To provide different types of common legal requests. This particular workflow allows for looking up FAQs, submitting a legal advice and counsel question, submitting an Intellectual Property Matter, or submitting a Labor and Employment Matter.
Challenge: Design and launch automated online forms and workflows for Legal Operations capable of efficiently managing legal services request intake.
Solution: By building forms and associated workflows to manage legal services requests using TAP, Legal Ops teams can handle even high request volumes:
- Individual online self-service forms can be easily designed and made available for submitting legal services requests
- Once a request has been submitted, it's routed to the proper Legal Ops stakeholders and gatekeepers for review
- Tracking and auditing of the request and fulfillment process is automated, allowing better governance and compliance
- Notifications and alerts can be dispatched to process participants and stakeholders pre-designated points throughout the intake process
- Service request intake workflows can easily integrate with other systems, such as eBilling and matter management process
Benefits:
- Exceptionally faster execution with minimized errors, delays, and costs
- Centralized tracking and reporting for real-time oversight and process optimization
- Automatic Cloud archiving of workflows for secure storage and auditing
- e-Signatures integration standardizes secure approvals; and greater efficiency, accountability, and superior user experience for users and stakeholders
- Automated workflow archiving ensures auditability of workflows and assets
- Drive greater efficiency, accountability, and superior user experience for the legal department and business partners
Legal Vendor Continuity Tracker (COVID Response)
Legal Operations, Legal
Click the workflow name to download the file to your computer
An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
Workflow Name: Legal Vendor Continuity
Challenge: Times of crisis often create chaos and disruption; that holds for the third parties and vendors you've chosen to work with in legal services or support. Understanding their ability to continue the work will let you plan ahead and arrange for the work to continue.
Initiate survey send through .tapw file, "Legal Vendor Continuity Tracker Initiative - COVID.tapw" and the survey runs with "Legal Vendor Continuity Tracker Survey - COVID.tapw." The first initiates the second.
Solution:
- Customize and send an outline smart form to third parties and legal vendors
- The form asks key questions to determine if a vendor and its employees are still able to work in the given conditions, is still able to work on their assignments, has delays or dependencies, and/or other changes in business continuity
- Legal vendors include, arbitrators, mediators, expert witnesses, ediscover firms, contract attorneys, and other orgs
- The completed questionnaire is triaged to a specified party in Legal Ops who can then follow up or mark resolved once answers are sufficient
- Optionally, the workflow can re-send the questionnaire after a month if the recipients respond "yes" to a question asking if the party anticipates any changes to answers in the upcoming month
- Easy customization allows your Legal Ops team to create surveys and questions based on company policy
- Automated follow-up notifications/reminders/escalations can be set up to ensure timely responses
Benefits:
- The workflow can provide a secure, confidential transaction between vendors and the company
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows Legal Ops to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
- The workflow is pre-built template but is completely customizable to capture context a company cares about
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Case Continuity Tracker (COVID Response)
Legal Operations, Legal
Click the workflow name to download the file to your computer
An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
Workflow Name: Case Continuity
Challenge: During periods of disruption, it's important to follow up on outstanding cases and matters. Many may need to reach court as tome point soon, so understanding delays and contingencies with outside counsel is critical.
Initiate survey send through .tapw file, "Case Continuity Tracker Initiate - COVID.tapw" and the survey runs with "Case Continuity Tracker Survey - COVID.tapw." The first initiates the second.
Solution:
- Customize and send an outline smart form to outside counsel and law firms
- The form asks key questions to determine if a case is still in progress, has delays or dependencies on vendors or staff, or changes in strategy, and can also query how the counter party is reacting to the case
- Optionally, the workflow can re-send the questionnaire after a month if the recipients respond "yes" to a question asking if the counsel anticipates any changes to answers in the upcoming month
- The completed questionnaire is triaged to a specified party in Legal Ops who can then follow up or mark resolved once answers are sufficient
- Easy customization allows your Legal Ops team to create surveys and questions based on company policy
- Automated follow-up notifications/reminders/escalations can be set up to ensure timely responses
Benefits:
- The workflow can provide a secure, confidential transaction between law firms and outside counsel and the company
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows Legal Ops to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
- The workflow is pre-built template but is completely customizable to capture context a company cares about
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Business Continuity - Legal Firm Tracker (COVID Response)
Legal Operations, Legal
Click the workflow name to download the file to your computer
An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
Workflow Name: Business Continuity - Legal Firms
Challenge: Companies need to make quick transitions during this time of pandemic, so it's important to make sure your outside legal firms can still perform their jobs and maintain business-as-usual.
Initiate survey send through .tapw file, "Law Firm Continuity Tracker Initiate.tapw" and the survey runs with "Law Firm Continuity Tracker Survey.tapw." The first initiates the second.
Solution:
- Customize and send an outline smart form to outside counsel and law firms
- The form contains whatever questions you need to be answered in order to determine if a firm can still carry out their business functions
- The questionnaire responses is triaged to a specified party in Legal Ops who then follows-up or marks resolved once answers are sufficient
- Easy customization allows your Legal Ops team to create surveys and questions based on company policy
- Automated follow-up notifications/reminders/escalations can be set up to ensure timely responses
Benefits:
- The workflow can provide a secure, confidential transaction between Law Firms and the company
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows Legal Ops to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
- The workflow is pre-built template but is completely customizable to capture context a company cares about
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Onsite Visit Approval Form (COVID Response)
HR, Legal
Click the workflow name to download the file to your computer
An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
Workflow Name: Onsite Request
Challenge: Certain privileged access employees need to come back into the office to check on environments or employees may need items from the office to sustain their work-from-home situations. To ensure safety of employees and building staff, companies need a way to sign off and allow individuals to return, momentarily or for the long-term.
Solution:
- The workflow can provide a secure, confidential transaction between HR and the employee; managers or stakeholders can be added at HR's discretion
- Form asks simple questions, if an answer is a "Yes" then a comment about the situation is required
- Do you currently have a fever or have you had a fever at any point in the last 14 days?
- Have you been in contact with anyone who has tested positive for or shown symptoms of having COVID-19 in the last 14 days?
- Have you traveled by air at any point in the last 14 days?
- Easy customizations allow HR to supply additional questions as they see necessary
Benefits:
- The workflow can provide a secure, confidential transaction between HR and the employee; managers or stakeholders can be added at HR's discretion
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows HR to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
- The workflow is pre-built template but is completely customizable by HR (or in-charge department) to capture context a company cares about
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Self-Reporting Form (COVID Response)
HR
Click the workflow name to download the file to your computer
Workflow Name: Self-Reporting
Challenge: Publish a workflow allowing an employee to report to Human Resources if they've tested positive for COVID-19, been in contact with people who have tested positive, report other potential impacts such as recent travel to a high-risk location or shutdown of your children's school, or other risks.
Solution:
- An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
- The workflow is pre-built template but is completely customizable by HR to capture context a company cares about
- The workflow can provide a secure, confidential transaction between HR and the employee; managers or stakeholders can be added at HR's discretion
- The workflow allows all parties to see what countries are still affected by the outbreak in real-time
- The TAP-based request form contains embedded business logic, dropdown fields and other features to capture what someone needs to report
- All questions have options to add comments
Benefits:
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows HR to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Travel Request Policy (COVID Response)
Legal, Legal Compliance, HR
Click the workflow name to download the file to your computer
Workflow Name: Travel Request Policy
Challenge: Create a corporation-wide workflow that can be quickly deployed to manage travel requests, especially during extraordinary periods (like the COVID-19 outbreak). It must ensure ease-of-use for the end-user while keeping everything aligned and audited internally.
Solution:
- An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers.
- The workflow is a pre-built template but is completely customizable by the client or their services provider.
- The TAP-based request form contains embedded business logic, dropdown fields and other features to capture the following information:
-
- The primary purpose of the meeting (including client name).
- The date most recently confirmed by the client, office, or business leader as to when you’re needed onsite.
- Location for departure location, destination(s), travel route, and method. Example: Departing by train from London’s St. Pancras station to Paris’s Gare du Nord station.
- Travel dates.
- Risk/impacts of not traveling such including negative impact on client/industry relationships, et cetera.
- Alternative options such as teleconferencing, local or partner representation.
- Once submitted, requests are automatically routed to proper stakeholders/managers for review.
- Approval or denial notifications can be automatically generated and sent to requesters and managers.
Benefits:
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allows HR to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
Remote Work Trackers (COVID Response)
With and without Manager Approval steps
Legal, Legal Compliance, HR
Click the workflow name to download the file to your computer (both .tapw files included)
Workflow Name: Remote Work Trackers
Challenge: Deliver a quickly deployable workflow that helps HR managers track the status of employees who are working remotely, and the health/travel status of them and their close contacts during a public health crisis such as the COVID-19 outbreak. It must ensure ease-of-use for the end-user while keeping everything aligned and audited internally.
Solution:
Two different Remote Work workflows included in downloaded, one is a request from employee with possibilities to extend time and another has an extra manager approval step.
- An automated workflow, including specification of stakeholders and notifications, is available at no charge to existing customers
- The workflow is a pre-built template but is completely customizable by the client or their services provider
- In its first stage, the workflow allows the employee to request to work remotely by using a combination of entry fields and dropdowns to get data including:
- Requested start and end dates
- Why they are asking to work remotely
- Will they be able to work remotely without distractions
- Do they have high-speed internet
- After the initial approved time period for working remotely passed, the workflow automatically emails once-a-week messages to employees that capture the following information:
- Do they need to extend working remotely for another week
- Was the employee able to work remotely successfully last week
- If not, why (a conditional pull-down with answers such as: WiFi issues, phone service issues, physical location, fill-in box for "other)
- Have you or anyone close to you traveled to any locations with elevated coronavirus warning levels (can link to a CDC monitoring page)
- Have you or anyone close to you had contact with anyone who has tested positive for the coronavirus
- Will you be able to successfully work remotely in the upcoming week
Benefits:
- Centralized tracking and reporting allows HR to have overview of all workflows in real-time
- Workflows are automatically archived in the Cloud for secure storage and accessibility for auditing
- eSignature integration standardizes secure approvals
Any questions or want to implement this? Contact your Account Manager or contact us with a request.
NDA Request
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Workflow Name: Self-service Contract Request
This workflow is used: To capture the details for an NDA; build the NDA based on a pre-approved template; send the NDA for approval and e-signature.
Challenge: Design and launch a self-service NDA workflow to eliminate inefficiencies, improve compliance, and reduce costs.
Solution:
- By using a self-service NDA workflow, online portal and standardized forms, users can request and obtain error-free NDAs without any involvement by a lawyer.
- Self-serivce NDAs can be custom-designed or use TAP's pre-formatted templates.
- A full template repository warehouses NDA templates to meet any contingency.
- Routing of requests to the right internal stakeholders, if needed, can be built into the NDA workflow.
- Signature authority requirements are integrated into the workflow and can leverage secure e-signature tools.
- Real-time status monitoring provides process oversight.
- Stakeholders can collaborate in approval processes and more complex self-service NDAs via online commentary/notation.
Benefits:
- Automated NDA workflows can be up to 7x faster and 15x more efficient than manual ones, with 100% compliance and 400% ROI.
- Standardized NDAs can be obtained any time, in any location, and without costly internal reviews by legal personnel.
- Automatic Cloud archiving of workflows for secure storage and auditing.
- e-Signature integration standardizes secure approvals; and Enterprise users can manage NDA process at scale across global networks.
TeamConnect Outside Counsel Matter Update
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Workflow Name: Outside Counsel Matter Update
This workflow is used for: TeamConnect Users to request a quick update on a matter from their Outside Counsel firms. Outside Counsel is easily directed to make specific updates onto a simple webform; after the form is fully filled in, the information is pushed via API into TeamConnect. This workflow will need an API layer to be initiated directly from a matter in TeamConnect.
How to use it: This workflow relies upon an integration with TeamConnect. TeamConnect Admins can make a new, TAP-powered button to place on their matter. When users click the button, they can simply and easily request their Outside Counsel to update the matter. The TeamConnect user will never know that they are using TAP - everything will look like TeamConnect - but with a couple of easy integrations TAP makes TeamConnect even more powerful. After the Outside Counsel receives the request and fills out a response, his or her request should flow straight into Team Connect. You can learn how to set that integration up here.
Please Note: This is an example, teams would still require setup within TeamConnect for complete integration.
Coverage Opinions
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Workflow Name: Coverage Opinions
This workflow is used for: To allow claims adjusters to quickly interact with team regarding a specific claim and have claim triaged to the correct attorney from the beginning. Please Note: This download includes an example source document to ensure proper triage happens and is aligned with the right resources.
Challenge: Claims Adjusters need to get approval for the coverage opinion they draft or need additional approvals or material from the staff attorney. Remove the need for inefficient back and forth fact-finding interactions between your claims adjusters and legal.
Solution:
- Capture type of request, relevant details, attachments, and comments
- Conditional logic based on the line of business such as personal or commercial auto, motorcycle, homeowners, renters, or personal liability/umbrella
- Send to manager for approvals before routing to staff attorney
- Staff attorney makes recommendations on coverage opinion with ability to add comments or notes regarding their decision
Benefits:
- Speed time-to-settlement, reducing litigation risk and exposure
- The workflow can provide a secure, confidential transaction between staff counsel and claims
- Set up automatic notifications, reminders, escalations to ensure steps move through the process at regular intervals
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allow teams to have real-time overview of workflows
- Real-time visibility into workflows across departments, teams, or practice areas allows superior governance
Gifts & Entertainment
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Workflow Name: Gifts & Entertainment Submission
This workflow is used for: Use this workflow to identify and record gifts & entertainment received by and given to employees. Make sure these requests are reviewed and approved by the correct department.
Challenge: Workflow for processing requests for gifts and entertainment reimbursements for expenses incurred (e.g. taking a client out to dinner).
Solution:
- Reimbursement request forms can be designed to meet any enterprise requirements, and made available online for user access.
- Forms prompt users for complete expense information, and can accommodate attach/upload of receipts.
- Upon form submission the workflow can be designed to route requests to the proper gatekeepers (such as a requester's supervisor and finance department).
- Automated notifications and reminders move the process forward by prompting timely action from all participants.
- Centralized dashboard permits oversight of all reimbursement workflows.
Benefits:
- Automates mundane process by removing drudgery while accelerating the process.
- Automated efficiencies reduces costs and paperwork.
- Generates secure workflow audit records for transparency, governance, and compliance purposes.
- Errors ar eliminated via workflow and survey form standardization.
- Employee morale is improved thanks to expedited, headache-free process.
Conflicts of Interest
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Workflow Name: Conflict of Interest
This workflow is used for: Used to identify and disclose potential conflicts of interest in order to properly manage them; ensure the requests are reviewed and approved by the correct departments. This is a standalone workflow that allows a user to disclose information to the organization that could potentially get flagged as a conflict of interest. Different paths in the workflow (aka different conditions) allow for different approvals to ensure there is proper coverage to decide of a conflict does/does not exist.
Challenge: To securely and efficiently deliver and manually follow-up on conflict of interest waivers to the appropriate attorneys to mitigate the company's risk and ensure compliance.
Solution:
- Works with mobile/remote devices; allowing remote/on-the-go signatures for conflict of interest waivers
- Centralized control and auditing via TAP and automatic notifications allow managers/stakeholders to track and report conflict of interest
- Automated notifications and alerts ensure timely participation from all concerned
Benefits:
- Centralized dashboard allows monitoring and management of conflicts of interest at every stand of a workflow, including auditing and reporting
- An automated processes that accelerates engagement and participation, while standardization reduces errors and saves valuable attorney time
- Delivers significant time savings, cost savings, and ROI; and allows users to easily and efficiently manage and mitigate the risks surrounding conflicts of interest via a single, centralized source
New Hire Onboarding - V1
HR
Click the workflow name to get to the resource page with more details and downloadable template
Workflow Name: New Hire Onboarding
This workflow is used: This universal, standalone workflow sets new employees up for success. New hires fill out required information, it is then routed to the hiring manager for approval, IT for set up, and HR for onboarding checklist.
Challenge: To track each step of onboarding a new hire across multiple departments in a timely manner before an employee starts and for their first few days.
Solutions:
- Stages for HR, IT, and managers to complete and keep each department accountable
- Feedback loops allow form updates that won't cancel in-progress records
Benefits:
- A centralized dashboard allows departments to manage the new hire process on time and so that employees are set up on their first day
- An automated process accelerates engagement and participation
- Delivers significant time and cost savings and ROI
- Audit Trail shows that each step is completed for successfully
- Automated notifications and alerts ensure timely participation
HR Onboarding - V2
HR
Click the workflow name to get to the resource page with more details and downloadable template
Workflow Name: HR Onboarding
This workflow is used: HR is responsible for overseeing employees are set up for success upon acceptance. Recruiters and/or HR reps fill in the new hire data and post-HR approval is sent to relevant departments who have responsibilities setting up new hires in their departmental systems, for example, Finance, IT, Company Training, Legal, etc. Teams acknowledge that they've finished their onboarding requirements and process. Once all departments have submitted their acceptance HR is notified.
Challenge: To track each step of onboarding a new hire across multiple departments in a timely manner before an employee starts and for their first few days.
Benefits:
- Stages for various departments and managers to complete and keep stakeholders accountable
- Centralized dashboard allows departments to manage the new hire process on time and so that employees are set up on their first day
- An automated process accelerates engagement and participation
- Delivers significant time and cost savings and ROI
- Audit Trail shows that each step is completed for successfully
- Automated notifications and alerts ensure timely participation
Coverage Opinions
Click the workflow name to download the file to your computer!
Workflow Name: Coverage Opinions
This workflow is used for: To allow claims adjusters to quickly interact with team regarding a specific claim and have claim triaged to the correct attorney from the beginning. Please Note: This download includes an example source document to ensure proper triage happens and is aligned with the right resources.
Challenge: Claims Adjusters need to get approval for the coverage opinion they draft or need additional approvals or material from the staff attorney. Remove the need for inefficient back and forth fact-finding interactions between your claims adjusters and legal.
Solution:
- Capture type of request, relevant details, attachments, and comments
- Conditional logic based on the line of business such as personal or commercial auto, motorcycle, homeowners, renters, or personal liability/umbrella
- Send to manager for approvals before routing to staff attorney
- Staff attorney makes recommendations on coverage opinion with ability to add comments or notes regarding their decision
Benefits:
- Speed time-to-settlement, reducing litigation risk and exposure
- The workflow can provide a secure, confidential transaction between staff counsel and claims
- Set up automatic notifications, reminders, escalations to ensure steps move through the process at regular intervals
- Requests are submitted and processed with far greater speed and minimized errors, delays, and costs
- Centralized tracking and reporting allow teams to have real-time overview of workflows
- Real-time visibility into workflows across departments, teams, or practice areas allows superior governance
Policy Query
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Workflow Name: Policy Query
This workflow is used: This simple, standalone workflow allows employees to submit a query and ask questions around a particular policy they have received and if it will apply to that employee.
Challenge: To securely deliver and manually follow-up on conflict of interest waivers to the appropriate attorneys to mitigate the company's risk and ensure compliance.
Solutions:
- Works with mobile/remote devices, allowing remote/on-the-go signatures for conflict of interest waivers.
- Centralized control and auditing via TAP and automatic notification allow manager/stakeholders to track and report conflict of interest.
- Automated notifications and alerts ensure timely participation.
Benefits:
- Centralized dashboard allows monitoring and management of conflicts of interest at every stage of a workflow, including auditing and reporting.
- An automated process accelerates engagement and participation, all while standardization reduces errors and saves valuable attorney time.
- Delivers significant time and cost savings and ROI; and easily and efficiently manage and mitigate the risks surrounding conflicts of interest via a single, centralized source.
Policy Exception
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Workflow Name: Policy Exception
This workflow is used: to allow employees to submit an exception to a policy. The workflow routes to a Manager and Compliance team for approval, and if necessary invokes a risk assessment work stream.
Challenge: Simply and effectively track and preserve all communications and documents around policy exceptions in order to maintain compliance and avoid risk.
Solutions
- Easy-to-use online self-service forms allow employees to submit policy exceptions for review and approval by the appropriate stakeholders.
- Forms can be built in TAP with embedded business logic, dropdown fields and other features, to meet the required process.
- Workflow, including specification of stakeholders and notifications, is completely configurable.
- Ensure that when appropriate, a risk assessment is carried out before the policy exception is approved.
- Track when a policy exception is due to expire and automatically follow up with the request to see if the exception still applies.
- Once submitted, requests are automatically routed to proper stakeholders/managers for review.
- Approval or denial notifications can be automatically generated and sent to requesters.
Benefits:
- Far better visibility into policy exceptions across the organisation.
- Centralizing exception activities in a single system results in enhanced reporting to key stakeholders across the organisation.
- Increase visibility into policy-related risks through automated logging, process and resolution of exceptions and disclosures.
- Automation of manual processes – including logging, processing and resolution of exceptions – drives significant ROI.
- Workflow automation provides significant ROI by streamlining processes and reducing the manual labor required with typical exception processing, while also reducing the potential for costly human error.
- Reporting dashboard and analysis features make it possible to quickly uncover high-risk behaviors, trends or problem employees.
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