Regal Governance · Customer Documentation

Know who does what. Know who approves.

A practical operating guide for responsibilities, approvals, segregation of duties, scope and accountability across Regal Governance.

One operating principleRegal separates the person who prepares a protected action from the person who independently approves it whenever governance requires that control.

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No matching responsibility or process found.

Responsibility model

Who owns what

Regal uses business personas and independent controls instead of giving one administrator unrestricted authority.

Tenant administration

Tenant IT Admin

Creates identities, manages technical access, sessions and permitted tenant configuration. Business-data blind by default.

Policy owner

Governance Admin

Prepares governance, approval and SoD rules. Does not automatically gain transaction authority.

Functional ownership

Managers & Approvers

Own business processes and approve within assigned persona, company, branch and business-unit scope.

Maker

Processors & Preparers

Sales reps, officers, clerks, engineers and accountants prepare or execute work within granted authority.

Independent oversight

Compliance

Reviews governance evidence, violations and audit trails without becoming the transaction processor.

Platform boundary

Regal Platform Admin

Operates the platform technically. Platform privilege is not customer business authority.

People & access

How a user gets authority

Creating a login and granting business authority are intentionally different actions.

STEP 1

Create identityTenant IT creates the backend user.

STEP 2

Request personaAuthorized administration selects business responsibility.

STEP 3

Independent approvalMaker and target user cannot self-approve the protected grant.

STEP 4

Activate with scopeCompany, branch and BU scope constrain effective access.

Regal control:

A newly created backend identity remains inactive until its initial persona assignment is independently approved. Protected SYS_ADMIN, GOV_ADMIN and TECH_SUPPORT provisioning follows a specially controlled path.

Policy configuration

Who sets the rules

Governance configuration itself is governed. A rule change is not automatically live because an administrator typed it.

Prepare

Governance Admin

Creates or materially changes approval levels, discount limits, margin controls, pricing authority, field visibility, SLAs, transaction conditions, release conditions and escalation behavior.

Approve activation

Independent Governance / Executive Authority

A different eligible authority approves activation where maker/checker applies. Human-created or changed protected rules remain disabled until approval.

SoD

Conflict rules

Critical and High non-overridable conflicts remain blocked where defined.

Exceptions

Independent exception approval

The target user and the request creator cannot approve the same protected exception.

Delegation

Delegated authority is still checked

Effective delegated personas are included in SoD evaluation before activation.

Company processes

Who starts, reviews and approves

Open a process to see the responsibility chain and the control Regal applies.

Sales · CRM, quotation & sales order

Owner: Sales management

StartsSales Rep

Technical inputEngineer / Technical Sales

ReviewsSales Manager

Higher approvalBranch Manager / BU Leader / configured authority

Regal enforces: pricing, discount, margin, approval and scope rules can stop confirmation or release until the required authority approves.

Procurement · Procure-to-Pay

Owner: Procurement + Finance

Purchase orderPurchase Officer → Purchase Manager

Goods receiptLogistics / Warehouse

Vendor billAP / Accountant → Accounting authority

PaymentTreasury → Finance approval chain

Regal enforces: procurement, receipt, AP processing and payment execution are separated where required. Master-data makers cannot certify their own protected changes.

Finance · Accounting, partner & bank master

Owner: Finance

ProcessesAccountant / AP Clerk / AR Clerk

ValidatesChief Accountant / Financial Controller

OversightCFO

Executes paymentTreasury Officer

Regal enforces: new or materially changed bank accounts and sensitive partner master changes remain untrusted until independently validated. CFO oversight does not automatically grant payment execution.

Inventory & Logistics · Stock movement and adjustment

Owner: Logistics / Warehouse

ProcessesLogistics Clerk / stock operator

ManagesLogistics / Warehouse Manager

Adjustment approvalIndependent governance / authorized approver

Branch transfersAuthorized send/receive actors

Regal enforces: inventory adjustment follows Prepare → Independent Approval → Adjust. Actual validator/receiver and transfer states remain auditable.

HR & Attendance · Employees and ground workforce

Owner: HR

Employee adminHR Officer

ManagesHR Manager

Attendance identityAuthorized HR

Ground employeeCheck in/out by attendance identity/PIN

Regal enforces: ground workers do not need normal backend accounts merely for attendance. HR administration does not automatically expose payroll compensation or bank information.

Payroll · Prepare, validate, approve & pay

Owner: Payroll + Finance

PreparesPayroll Officer

ValidatesPayroll Manager

ApprovesRequired independent Finance / Executive authority

ExecutesTreasury Officer

Regal enforces: preparation, validation, approval and payment execution are separately recorded. Treasury uses payment execution authority without needing employee salary-detail authority.

Projects & Technical · Delivery and budget changes

Owner: Project / BU management

Technical workEngineer

ManagesProject Manager

Budget controlBU Leader / Cost Controller / configured authority

Commercial triggerApproved CRM / sales process where applicable

Regal enforces: technical execution does not grant unrelated finance/payment authority. Governed budget changes require approval instead of silent modification.

Reporting, KPI & Audit

Owner: Functional owners + Governance

Operational reportsFunctional personas in own scope

KPIRelevant functional / executive persona

AuditCompliance / Governance

IT AdminSystem/IT metrics only where defined

Regal enforces: reporting does not bypass record access, confidentiality, branch/BU scope or IT-admin blindness.

Control model

Approval is a control, not a status

A protected action remains blocked until the required approval is satisfied.

1 · Maker

Who initiated it?

The system records the requestor or actor who created or changed the controlled item.

2 · Policy

Why is approval required?

The applicable governance rule, authority threshold, SoD control or protected lifecycle action is explicit.

3 · Checker

Who can approve?

An independent eligible authority within the required persona and organizational scope.

4 · Evidence

What is recorded?

Actor, time, decision, source record, scope, comments and escalation evidence.

5 · Escalation

What if overdue?

Configured escalation identifies who becomes responsible and records the event.

6 · Release

What happens after approval?

Only then does the protected confirmation, activation, posting, adjustment or release become available.

Scalable governance

One authority model, different company sizes

Regal can consolidate compatible responsibilities for smaller organizations without silently removing critical controls.

Highest segregation

Enterprise / Strict

Specialized roles and strong maker/checker separation across critical chains.

Balanced

Standard / Segregated

Managers may hold several responsibilities while critical activities remain independently checked.

Small company

Compact / Controlled

Compatible responsibilities may combine, but compensating independent approval remains explicit and auditable.

Exceptional

Single-Operator

Technical convenience never silently removes protected control evidence or mandatory independence.

Compact is not a waiver profile.

Combining responsibilities does not mean bypassing governance. Regal uses the same authority model and applies compensating independent approval where consolidation is permitted.

Quick reference

Who can do what?

This customer responsibility map shows the normal maker, checker and policy owner. Actual access still depends on assigned persona and scope.

Activity	Maker / Responsible	Checker / Approver	Policy Owner
Create tenant user identity	Tenant IT	Independent persona approval before activation	Governance / Tenant management
Assign or change persona	Authorized admin	Independent approver	Governance Admin
Configure governance / SoD rule	Governance Admin	Different Governance / Executive authority	Governance Admin
Request SoD exception	Authorized requester	Independent eligible approver	Governance / Compliance
Prepare quotation	Sales Rep / Technical Sales where applicable	Sales Manager / threshold authority	Sales management
Prepare purchase order	Purchase Officer	Purchase Manager	Procurement management
Receive goods	Logistics / Warehouse	Independent control where required	Logistics management
Process vendor bill	AP / Accountant	Chief Accountant / Financial Controller	Finance
Execute supplier payment	Treasury	Finance approval chain	CFO / Finance control
Maintain bank account	Authorized finance / payroll maintainer	Independent bank validator	Finance / Payroll governance
Maintain partner / product master	Authorized master-data maker	Independent master validator	Functional owner / Governance
Adjust inventory	Authorized stock maker	Independent approval	Logistics / Governance
Maintain employee data	HR Officer	HR Manager where required	HR
Prepare payroll	Payroll Officer	Payroll Manager / further approval	Payroll / Finance
Execute payroll payment	Treasury	Required independent payroll approval already completed	Finance
Manage project	Project Manager	BU / budget authority where required	Operations / BU
Review audit / violations	Compliance / Governance	Oversight	Governance