147 lines
No EOL
8.7 KiB
Text
147 lines
No EOL
8.7 KiB
Text
```
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Business Process: Supplier Compliance Check
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START
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|- [Task: 1000] Supplier Registration Received
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| Team: Procurement
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| Description:
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| A new supplier has submitted their registration documents for onboarding. Initial review of completeness is required before compliance verification can begin.
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| |-- [Event: 10] Documents Complete (All required documents received) --> [Task: 1100] Initial Document Review
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| |-- [Event: 20] Request Documents (Missing documents identified) --> [Task: 1000] Supplier Registration Received
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| |-- [Event: 30] Reject (Invalid submission) --> [Task: 1900] Rejected
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|- [Task: 1100] Initial Document Review
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| Team: Procurement
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| Description:
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| Review supplier documentation for authenticity and validity. Verify business registration, certifications (ISO, industry-specific), and financial statements.
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| |-- [Event: 10] Add Comment --> [Task: 1100] Initial Document Review
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| |-- [Event: 20] Documents Valid (Documentation verified) --> [Task: 1200] Export Control Screening
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| |-- [Event: 30] Request Clarification (Additional information needed) --> [Task: 1050] Awaiting Supplier Response
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| |-- [Event: 40] Reject (Documentation invalid or fraudulent) --> [Task: 1900] Rejected
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|- [Task: 1050] Awaiting Supplier Response
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| Team: Procurement
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| Description:
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| Waiting for supplier to provide requested clarifications or additional documentation.
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| |-- [Event: 10] Response Received (Supplier provided requested information) --> [Task: 1100] Initial Document Review
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| |-- [Event: 20] Send Reminder --> [Task: 1050] Awaiting Supplier Response
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| |-- [Event: 30] No Response (Supplier did not respond within deadline) --> [Task: 1900] Rejected
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|- [Task: 1200] Export Control Screening
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| Team: Compliance
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| Description:
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| Conduct export control screening including sanctions list check (OFAC, EU, UN), denied party screening, and dual-use goods assessment. Critical step for export compliance.
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| |-- [Event: 10] Add Comment --> [Task: 1200] Export Control Screening
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| |-- [Event: 20] Screening Passed (No export control issues identified) --> [Task: 1300] Risk Assessment
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| |-- [Event: 30] Potential Match (Possible sanctions list match found) --> [Task: 1250] Enhanced Due Diligence
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| |-- [Event: 40] Screening Failed (Confirmed sanctions list match) --> [Task: 1900] Rejected
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|- [Task: 1250] Enhanced Due Diligence
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| Team: Compliance
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| Description:
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| Conduct enhanced due diligence for potential sanctions matches or high-risk indicators. Verify beneficial ownership, conduct background checks, and assess ultimate risk.
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| |-- [Event: 10] Add Comment --> [Task: 1250] Enhanced Due Diligence
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| |-- [Event: 20] Request Additional Information --> [Task: 1050] Awaiting Supplier Response
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| |-- [Event: 30] Risk Mitigated (Due diligence confirms no compliance issues) --> [Task: 1300] Risk Assessment
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| |-- [Event: 40] Risk Confirmed (Compliance risk confirmed) --> [Task: 1900] Rejected
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|- [Task: 1300] Risk Assessment
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| Team: Compliance
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| Description:
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| Comprehensive risk assessment including country risk, industry risk, financial stability, and environmental/social governance (ESG) factors. Assign risk rating to supplier.
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| |-- [Event: 10] Add Comment --> [Task: 1300] Risk Assessment
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| |-- [Event: 20] Low Risk (Supplier classified as low risk) --> [Task: 1400] Compliance Approval
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| |-- [Event: 30] Medium Risk (Supplier classified as medium risk) --> [Task: 1400] Compliance Approval
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| |-- [Event: 40] High Risk (Supplier classified as high risk) --> [Task: 1350] Management Escalation
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| |-- [Event: 50] Unacceptable Risk (Risk level exceeds tolerance) --> [Task: 1900] Rejected
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|- [Task: 1350] Management Escalation
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| Team: Management
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| Description:
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| High-risk supplier requires management review and decision. Business justification and risk mitigation measures must be evaluated.
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| |-- [Event: 10] Add Comment --> [Task: 1350] Management Escalation
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| |-- [Event: 20] Approve with Conditions (Approved with additional controls) --> [Task: 1400] Compliance Approval
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| |-- [Event: 30] Request Additional Review (Further analysis required) --> [Task: 1300] Risk Assessment
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| |-- [Event: 40] Reject (Risk not acceptable) --> [Task: 1900] Rejected
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|- [Task: 1400] Compliance Approval
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| Team: Compliance
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| Description:
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| Final compliance approval step. Document compliance decision, conditions, and monitoring requirements. Generate compliance certificate.
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| |-- [Event: 10] Add Comment --> [Task: 1400] Compliance Approval
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| |-- [Event: 20] Approve (Compliance approved) --> [Task: 1500] Contract Review
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| |-- [Event: 30] Conditional Approval (Approved with conditions) --> [Task: 1500] Contract Review
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| |-- [Event: 40] Return for Review (Issues identified during approval) --> [Task: 1300] Risk Assessment
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|- [Task: 1500] Contract Review
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| Team: Legal
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| Description:
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| Review and prepare supplier agreement including compliance clauses, audit rights, termination conditions, and liability provisions.
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| |-- [Event: 10] Add Comment --> [Task: 1500] Contract Review
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| |-- [Event: 20] Contract Ready (Contract prepared and reviewed) --> [Task: 1600] Supplier Onboarding
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| |-- [Event: 30] Negotiate Terms (Contract terms need negotiation) --> [Task: 1550] Contract Negotiation
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|- [Task: 1550] Contract Negotiation
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| Team: Legal
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| Description:
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| Negotiate contract terms with supplier. Ensure compliance requirements are non-negotiable while finding mutually acceptable commercial terms.
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| |-- [Event: 10] Add Comment --> [Task: 1550] Contract Negotiation
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| |-- [Event: 20] Agreement Reached (Terms agreed upon) --> [Task: 1500] Contract Review
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| |-- [Event: 30] Escalate to Management (Negotiation requires management input) --> [Task: 1350] Management Escalation
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| |-- [Event: 40] Negotiation Failed (Unable to reach agreement) --> [Task: 1900] Rejected
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|- [Task: 1600] Supplier Onboarding
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| Team: Procurement
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| Description:
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| Complete supplier onboarding in ERP system. Set up vendor master data, payment terms, and compliance monitoring schedule.
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| |-- [Event: 10] Add Comment --> [Task: 1600] Supplier Onboarding
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| |-- [Event: 20] Onboarding Complete (Supplier successfully onboarded) --> [Task: 1700] Approved
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| |-- [Event: 30] Technical Issue (System setup issue encountered) --> [Task: 1600] Supplier Onboarding
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|- [Task: 1700] Approved
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| Team: Procurement
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| Description:
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| Supplier compliance check completed successfully. Supplier is approved and active in the system. Next review date is scheduled based on risk rating.
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| |-- [Event: 10] Add Comment --> [Task: 1700] Approved
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| |-- [Event: 20] Schedule Review (Periodic review scheduled) --> [Task: 1750] Periodic Review Due
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| |-- [Event: 30] Archive --> [Task: 1800] Completed
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|- [Task: 1750] Periodic Review Due
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| Team: Compliance
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| Description:
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| Scheduled periodic compliance review for existing supplier. Re-screening and documentation update required.
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| |-- [Event: 10] Add Comment --> [Task: 1750] Periodic Review Due
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| |-- [Event: 20] Start Review (Initiate compliance re-check) --> [Task: 1200] Export Control Screening
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| |-- [Event: 30] Suspend Supplier (Issues identified, supplier suspended) --> [Task: 1760] Supplier Suspended
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|- [Task: 1760] Supplier Suspended
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| Team: Compliance
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| Description:
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| Supplier has been suspended due to compliance concerns. Investigation and remediation required before reactivation.
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| |-- [Event: 10] Add Comment --> [Task: 1760] Supplier Suspended
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| |-- [Event: 20] Remediation Complete (Issues resolved) --> [Task: 1200] Export Control Screening
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| |-- [Event: 30] Terminate Supplier (Permanent termination) --> [Task: 1900] Rejected
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|- [Task: 1800] Completed
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| Team: Procurement
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| Description:
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| Supplier compliance check process completed and archived. All documentation stored for audit trail.
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| |-- [Event: 10] Add Comment --> [Task: 1800] Completed
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|- [Task: 1900] Rejected
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| Team: Compliance
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| Description:
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| Supplier has been rejected due to compliance issues. Rejection reason documented and supplier notified.
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| |-- [Event: 10] Add Comment --> [Task: 1900] Rejected
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| |-- [Event: 20] Appeal Received (Supplier submitted appeal) --> [Task: 1350] Management Escalation
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| |-- [Event: 30] Archive --> [Task: 1990] Archived - Rejected
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END
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|- [Task: 1990] Archived - Rejected
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| Team: Compliance
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| Description:
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| Rejected supplier case archived. Supplier added to internal watchlist for future reference.
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``` |