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Import UAPF package
146 lines
8.4 KiB
XML
146 lines
8.4 KiB
XML
<?xml version="1.0" encoding="UTF-8"?>
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<cmmn:definitions xmlns:cmmn="http://www.omg.org/spec/CMMN/20151109/MODEL"
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xmlns:cmmndi="http://www.omg.org/spec/CMMN/20151109/CMMNDI"
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xmlns:dc="http://www.omg.org/spec/CMMN/20151109/DC"
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id="SanctionsExceptionCase"
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targetNamespace="https://processgit.org/heliosgroup/sanctions-exception">
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<cmmn:case id="Case_SanctionsException" name="Sanctions Exception and Escalation Case">
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<cmmn:casePlanModel id="CasePlanModel_1" name="Sanctions Match — Manual Review and Override Process">
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<!-- Stage 1: Initial Assessment -->
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<cmmn:planItem id="PI_InitialAssessment" definitionRef="Stage_InitialAssessment">
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<cmmn:entryCriterion id="EC_1" sentryRef="Sentry_CaseOpened"/>
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</cmmn:planItem>
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<!-- Stage 2: Legal Investigation -->
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<cmmn:planItem id="PI_LegalInvestigation" definitionRef="Stage_LegalInvestigation">
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<cmmn:entryCriterion id="EC_2" sentryRef="Sentry_AssessmentComplete"/>
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</cmmn:planItem>
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<!-- Stage 3: Executive Escalation (conditional) -->
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<cmmn:planItem id="PI_ExecutiveEscalation" definitionRef="Stage_ExecutiveEscalation">
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<cmmn:entryCriterion id="EC_3" sentryRef="Sentry_EscalationRequired"/>
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</cmmn:planItem>
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<!-- Stage 4: Resolution -->
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<cmmn:planItem id="PI_Resolution" definitionRef="Stage_Resolution">
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<cmmn:entryCriterion id="EC_4" sentryRef="Sentry_DecisionMade"/>
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</cmmn:planItem>
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<!-- Milestone: Case Closed -->
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<cmmn:planItem id="PI_CaseClosed" definitionRef="Milestone_CaseClosed">
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<cmmn:entryCriterion id="EC_5" sentryRef="Sentry_ResolutionComplete"/>
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</cmmn:planItem>
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<!-- SENTRIES -->
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<cmmn:sentry id="Sentry_CaseOpened">
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<cmmn:planItemOnPart id="POP_1" sourceRef="PI_InitialAssessment">
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<cmmn:standardEvent>create</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<cmmn:sentry id="Sentry_AssessmentComplete">
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<cmmn:planItemOnPart id="POP_2" sourceRef="PI_InitialAssessment">
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<cmmn:standardEvent>complete</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<cmmn:sentry id="Sentry_EscalationRequired">
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<cmmn:ifPart id="IP_1">
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<cmmn:condition id="Cond_1"><cmmn:body>sanctionsMatchType == "DIRECT" || contractValue > 500000</cmmn:body></cmmn:condition>
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</cmmn:ifPart>
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</cmmn:sentry>
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<cmmn:sentry id="Sentry_DecisionMade">
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<cmmn:planItemOnPart id="POP_3" sourceRef="PI_LegalInvestigation">
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<cmmn:standardEvent>complete</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<cmmn:sentry id="Sentry_ResolutionComplete">
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<cmmn:planItemOnPart id="POP_4" sourceRef="PI_Resolution">
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<cmmn:standardEvent>complete</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<!-- STAGE DEFINITIONS -->
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<!-- Stage 1: Initial Assessment -->
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<cmmn:stage id="Stage_InitialAssessment" name="Initial Sanctions Assessment">
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<cmmn:planItem id="PI_ReviewAlert" definitionRef="Task_ReviewSanctionsAlert"/>
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<cmmn:planItem id="PI_ClassifyMatch" definitionRef="Task_ClassifyMatchType">
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<cmmn:entryCriterion id="EC_S1_1" sentryRef="Sentry_S1_AlertReviewed"/>
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</cmmn:planItem>
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<cmmn:planItem id="PI_CheckFalsePositive" definitionRef="Task_CheckFalsePositive">
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<cmmn:entryCriterion id="EC_S1_2" sentryRef="Sentry_S1_Classified"/>
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</cmmn:planItem>
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<cmmn:sentry id="Sentry_S1_AlertReviewed">
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<cmmn:planItemOnPart id="POP_S1_1" sourceRef="PI_ReviewAlert">
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<cmmn:standardEvent>complete</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<cmmn:sentry id="Sentry_S1_Classified">
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<cmmn:planItemOnPart id="POP_S1_2" sourceRef="PI_ClassifyMatch">
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<cmmn:standardEvent>complete</cmmn:standardEvent>
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</cmmn:planItemOnPart>
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</cmmn:sentry>
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<cmmn:humanTask id="Task_ReviewSanctionsAlert" name="Review Sanctions Alert Details"/>
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<cmmn:humanTask id="Task_ClassifyMatchType" name="Classify: Direct / Indirect / False Positive"/>
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<cmmn:humanTask id="Task_CheckFalsePositive" name="Verify False Positive against Source Lists"/>
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</cmmn:stage>
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<!-- Stage 2: Legal Investigation -->
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<cmmn:stage id="Stage_LegalInvestigation" name="Legal Investigation">
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<cmmn:planItem id="PI_RequestLegalOpinion" definitionRef="Task_RequestLegalOpinion"/>
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<cmmn:planItem id="PI_ReviewUBO" definitionRef="Task_ReviewUBOStructure">
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<cmmn:itemControl id="IC_UBO"><cmmn:manualActivationRule/></cmmn:itemControl>
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</cmmn:planItem>
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<cmmn:planItem id="PI_ContactAuthorities" definitionRef="Task_ContactRegulatoryAuthorities">
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<cmmn:itemControl id="IC_Auth"><cmmn:manualActivationRule/></cmmn:itemControl>
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</cmmn:planItem>
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<cmmn:planItem id="PI_DocumentFindings" definitionRef="Task_DocumentLegalFindings"/>
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<cmmn:humanTask id="Task_RequestLegalOpinion" name="Request Legal Opinion from Counsel"/>
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<cmmn:humanTask id="Task_ReviewUBOStructure" name="Review Ultimate Beneficial Ownership Structure"/>
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<cmmn:humanTask id="Task_ContactRegulatoryAuthorities" name="Contact Regulatory Authorities (if required)"/>
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<cmmn:humanTask id="Task_DocumentLegalFindings" name="Document Legal Findings and Recommendation"/>
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</cmmn:stage>
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<!-- Stage 3: Executive Escalation -->
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<cmmn:stage id="Stage_ExecutiveEscalation" name="Executive Escalation">
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<cmmn:planItem id="PI_PrepareExecBrief" definitionRef="Task_PrepareExecutiveBriefing"/>
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<cmmn:planItem id="PI_ExecReview" definitionRef="Task_ExecutiveReview"/>
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<cmmn:planItem id="PI_BoardNotification" definitionRef="Task_BoardNotification">
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<cmmn:itemControl id="IC_Board"><cmmn:manualActivationRule/></cmmn:itemControl>
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</cmmn:planItem>
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<cmmn:humanTask id="Task_PrepareExecutiveBriefing" name="Prepare Executive Briefing Document"/>
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<cmmn:humanTask id="Task_ExecutiveReview" name="CEO / CLO Decision Review"/>
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<cmmn:humanTask id="Task_BoardNotification" name="Notify Board Audit and Risk Committee"/>
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</cmmn:stage>
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<!-- Stage 4: Resolution -->
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<cmmn:stage id="Stage_Resolution" name="Case Resolution">
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<cmmn:planItem id="PI_RecordDecision" definitionRef="Task_RecordFinalDecision"/>
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<cmmn:planItem id="PI_UpdateWatchlist" definitionRef="Task_UpdateInternalWatchlist"/>
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<cmmn:planItem id="PI_NotifyProcurement" definitionRef="Task_NotifyProcurement"/>
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<cmmn:humanTask id="Task_RecordFinalDecision" name="Record Final Decision in Audit Trail"/>
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<cmmn:serviceTask id="Task_UpdateInternalWatchlist" name="Update Internal Vendor Watchlist"/>
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<cmmn:humanTask id="Task_NotifyProcurement" name="Notify Procurement of Outcome"/>
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</cmmn:stage>
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<cmmn:milestone id="Milestone_CaseClosed" name="Sanctions Case Closed"/>
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</cmmn:casePlanModel>
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</cmmn:case>
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<cmmndi:CMMNDI>
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<cmmndi:CMMNDiagram id="CMMNDiagram_1">
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<cmmndi:CMMNShape id="CS_CasePlan" cmmnElementRef="CasePlanModel_1"><dc:Bounds x="50" y="50" width="1100" height="600"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_S1" cmmnElementRef="PI_InitialAssessment"><dc:Bounds x="100" y="100" width="220" height="180"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_S2" cmmnElementRef="PI_LegalInvestigation"><dc:Bounds x="360" y="100" width="220" height="200"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_S3" cmmnElementRef="PI_ExecutiveEscalation"><dc:Bounds x="620" y="100" width="220" height="180"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_S4" cmmnElementRef="PI_Resolution"><dc:Bounds x="880" y="100" width="220" height="180"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_Milestone" cmmnElementRef="PI_CaseClosed"><dc:Bounds x="880" y="450" width="100" height="60"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_EC2" cmmnElementRef="EC_2"><dc:Bounds x="350" y="175" width="20" height="28"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_EC3" cmmnElementRef="EC_3"><dc:Bounds x="610" y="175" width="20" height="28"/></cmmndi:CMMNShape>
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<cmmndi:CMMNShape id="CS_EC4" cmmnElementRef="EC_4"><dc:Bounds x="870" y="175" width="20" height="28"/></cmmndi:CMMNShape>
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</cmmndi:CMMNDiagram>
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</cmmndi:CMMNDI>
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</cmmn:definitions>
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