Risk & Compliance

Process Automation Use Cases

Explore how automating the NDA process with TAP Workflow Automation can generate enterprise-wide consistency and extraordinary savings.

Risk & Compliance

Risk & Compliance
Conflict of Interest
Effectively address and resolve conflict-of-interest issues that need the ongoing attention of multiple sta...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Conflict of Interest

Challenge

Effectively address and resolve conflict-of-interest issues that need the ongoing attention of multiple stakeholders in the organisation.

Solution

  • Easy-to-use online self-service forms allow employees to submit the details of any potential conflict of interest and maintain their disclosure status.
  • Once submitted, requests are automatically routed to proper stakeholders for review.
  • Correlate disclosure information with helpline-reported issues to visualize potential conflicts and prevent them from becoming issues.
  • Allow ethics and compliance professionals to proactively gather information and complete due diligence to protect their organization.

Benefits

  • Log conflicts in a consistent manner and track issues over time, through to resolution.
  • Save valuable time and gain ethics and compliance team efficiency by removing the need for manual disclosure collections.
  • Using a single database and environment brings standardization and centralization, with ready-made security and compliance.
  • All stakeholders involved at the correct time and in the correct sequence.
  • TAP’s powerful reporting to enables an organisation to provide evidence that their compliance programme is effective.
  • Reporting dashboard and analysis features facilitates quickly uncovering high-risk behaviors, trends or problem employees, making it possible to proactively get ahead of developing COI issues.
Risk & Compliance
Legal/Policy Questions
Log, preserve and address employee inquiries and legal responses around the implementation of new policies ...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Legal/Policy Questions

Challenge

Log, preserve and address employee inquiries and legal responses around the implementation of new policies and procedures in order to facilitate audits or regulatory review.

Solution

  • Easy-to-use online self-service forms allow employees to submit policy questions for review and response by the appropriate stakeholders.
  • Forms can be built in TAP with embedded business logic, dropdown fields and other features, to meet the required process.
  • Communicate and document policy exceptions throughout the entire organization, and support two-way legal inquiry/response threads.
  • Once submitted, questions are automatically routed to proper stakeholders/managers for review.
  • Notifications and alerts can be dispatched to process participants and stakeholders at pre-designated points throughout the process.
  • TAP ensures that policy and legal teams can accommodate the full range of legal enquiries while shaping their policy management infrastructure to best suit their own circumstances.

Benefits

  • Tracking legal questions and responses to policy updates in a central system provides the granularity needed to easily document compliance to auditors, regulators, and authorities.
  • Automation of manual processes – including logging, processing and resolution of questions – drives significant ROI.
  • Reporting dashboard and analysis features make it possible to quickly review exception events, and track overall exception handling processes holistically, providing a single source of truth.
  • Intuitive built-in tools ensure policies and exceptions are efficiently managed and enforced, while accurately maintained, distributed, and attested to.
Risk & Compliance
Policy Exceptions
Simply and effectively track and preserve all communications and documents around policy exceptions in orde...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Policy Exceptions

Challenge

Simply and effectively track and preserve all communications and documents around policy exceptions in order to maintain compliance and avoid risk.

Solution

  • 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.
Risk & Compliance
Entertainment Disclosures & Exceptions
Provide a simple, convenient way for executives and staff to report on gifting and entertainment activities...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Entertainment Disclosures & Exceptions

Challenge

Provide a simple, convenient way for executives and staff to report on gifting and entertainment activities in order to mitigate potential non-compliance risk and cultivate a healthy, open culture.

Solution

  • Easy-to-use online self-service forms allow employees to submit entertainment disclosures and except 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.
  • Once submitted, requests are automatically routed to proper stakeholders/managers for review.
  • Approval or denial notifications can be automatically generated and sent to requesters.
  • A secure Cloud-based archive of workflows and all documentation provides for detailed compliance/auditing.

Benefits

  • Far better visibility into gift and entertainment disclosures throughout the organization.
  • Much better equipped to uncover risks and rectify issues before they can escalate.
  • Tracking gift and entertainment activities in a central system provides the granularity needed to easily document compliance to regulators and authorities.
  • Adjustable approval/escalation thresholds speed the resolution of routine matters, and flag questionable situations for closer scrutiny.
  • Automation of manual processes – including logging, processing and resolution of exceptions and disclosures – drives significant ROI.
  • Reporting dashboard and analysis features make it possible to quickly uncover high-risk behaviors, trends or problem employees.
Risk & Compliance
Gifts and Courtesies Approval
To efficiently manage gifts and courtesies in Legal in a way that ensures compliance with both internal and...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Gifts and Courtesies Approval

Challenge

To efficiently manage gifts and courtesies in Legal in a way that ensures compliance with both internal and external regulations.

Solution

  • Use the latest and most secure technology available to digitally automate and track gifts and courtesies to attorneys.
  • Centralized control and audit via TAP and automated notifications allow managers and stakeholders to track approvals of gifts and courtesies throughout a workflow.
  • Easily prove regulatory compliance through automated audit and approval trails.
  • Works via remote devices, allowing remote/on-the-go approvals and notifications.
  • Automated notifications and alerts ensure timely participation from all concerned.

Benefits

  • Centralized dashboard allows monitoring and management of gifts and courtesies at every stage.
  • Easily audit Legal and prove your compliance to required certifications to internal stakeholders and external regulators.
  • Drive significant time and cost savings and ROI.
  • Easily and efficiently manage and mitigate the risks surrounding gifts and courtesies via a single, centralized source.
Risk & Compliance
Yearly Certifications
To stay on top of each of your (sometimes hundreds, if not thousands) attorneys’ certifications to ensure e...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Yearly Certifications

Challenge

To stay on top of each of your (sometimes hundreds, if not thousands) attorneys’ certifications to ensure everyone is in compliance and up to date with required certifications.

Solution

  • An automated, centralized, efficient source to identify all expiring certifications and notify the necessary attorneys – without having to manually email.
  • Automated notifications and alerts ensure timely participation from all concerned.
  • Mitigate your risks of noncompliance by keeping your entire legal team up to date with required certifications.

Benefits

  • Centralized dashboard allows monitoring and management of yearly certifications at every stage.
  • Easily audit Legal and prove your compliance to required certifications to internal stakeholders and external regulators.
  • Drive significant time and cost savings and ROI.
  • Easily and efficiently manage and mitigate the risks surrounding yearly certifications via a single, centralized source.
  • Detailed reporting with access to metrics on who has – and hasn’t – responded to notifications.
Risk & Compliance
Conflict of Interest Waivers
To securely and efficiently deliver and manually follow-up on conflict of interest waivers to the appropria...
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Process Automation Use Cases

Explore how automating a Legal Services Requests Portal with TAP Workflow Automation can generate savings and improved responsiveness.

Conflict of Interest Waivers

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 interests
  • Automated notifications and alerts ensure timely participation from all concerned

Benefits

  • Centralized dashboard allows monitoring and management of conflicts of interests at every stage of a workflow, including auditing and reporting.
  • An automated process accelerates engagement and participation, while standardization reduces errors and saves valuable attorney time.
  • Delivers significant time and cost savings and ROI
  • Easily and efficiently manage and mitigate the risks surrounding conflicts of interest via a single, centralized source.

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