Workflow Templates in Compliance 360 Version 2018

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1 Workflow Templates in Compliance 360 Version 2018 Workflow Templates 5 Workflow Elements 6 Workflow Teams 6 Workflow Template Changes 6 Create or Edit a Workflow Template 8 Import and Export Workflow Templates 11 Exporting Workflow Templates 11 Importing Workflow Templates 11 Importing and Exporting Workflow Template That Have Been Translated 12 Tokens in Workflow Templates 13 Related Items Token Types 13 Use 13 Global Search and Replace for Workflow Templates 15 Key Considerations 15 Search Options 15 Replacing Text in Required Fields 16 Case Sensitivity 16 Specific Characters 16 Example Search and Replace 16 Results 16 Workflow Template FAQs and Examples 17 Example Workflow Templates 19 Example 1: Two Statuses for Documents 19 Copyright SAI Global Compliance, Inc. All rights reserved. The SAI Global name and logo are trademarks of SAI Global PTY Limited Compliance 360 and Virtual Evidence Room are registered trademarks of SAI Global Compliance, Inc., an SAI Global company. CPT is a registered trademark of the American Medical Association. All other trademarks are those of the respective owners. Workflow Templates in Compliance 360 1

2 Example 2: Four Statuses for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks 20 Example 3: Seven Statuses for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks 20 Example 4: Signature Party for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks 21 Example 5: Two Statuses for Control Tests, Risk Assessments, and Surveys 21 Example 6: Four Statuses for Control Tests, Risk Assessments, and Surveys 22 Workflow Steps 23 Add or Edit a Workflow Step 23 Use a Step More Than Once in a Workflow Template 24 Repeat Steps Within a Workflow Template 25 Control Step Entry Criteria 25 Key Considerations for Configuring Step Entry Conditions 26 How to Configure Step Entry Conditions 26 Example Configuration of Step Entry Criteria 29 Copy a Workflow Step 30 Delete a Workflow Step 31 Types of Workflow Steps 31 Acceptance Workflow Step 32 Approval Workflow Step 33 Archive Workflow Step 37 Assignment Workflow Step 37 Collaboration Workflow Step 39 Complete Workflow Step 43 General Modification Workflow Step 44 Planning Workflow Step 45 Publish Workflow Step 46 Review Workflow Step 46 Workflow Actions 49 Set Up the Actions Element 49 Apply a Workflow Action to All Steps 50 Create an Action and Apply It to All Workflow Steps 51 Apply an Existing Action to All Workflow Steps 52 Key Considerations 52 Use the Action Icons 52 Attachment and Comment Icons 52 Create a Custom Action Element 52 Intent/Page Operations for Workflow Templates 54 Determine a Module's Platform 54 FA 2.0 Options 54 FA 3.0 Options 54 Delegate an Assignment Action 55 Enable the Workflow Delegation Action for Employees 56 Resend Messages Workflow Template Action 56 Close Claim Action for Workflow Templates - CAM 57 Workflow Templates in Compliance 360 2

3 Close Claim Action for Workflow Templates - CDM 58 Create Appeal Action - CAM 59 Create Appeal Action - CDM 60 EHR Actions for Workflow Templates 61 Workflow Rules 63 Add or Edit a Workflow Rule 63 When Workflow Rules Execute 64 Copy a Workflow Rule 65 Delete a Workflow Rule 65 Available Workflow Rules 66 Assessment Navigation Rule 75 Audit Navigation Rules 76 Automatically Generate Revision Rule 77 Calculate Date Rule 79 Calculate Interval End Date Rule 87 Change Workflow Template Rule 90 Child Object Navigation Rule 91 Collaboration Reminder Notification Rule 98 Copy/Move Rule 98 Create Object Rule 100 Date Notification Rules 102 EHR Transmission Appeal Rule 102 EHR Workflow Rules 103 General Notification Rule 104 Gift Limit Threshold Alert Rule 105 Gift Routing and Navigation Rule 112 Lookup Value Move Rule 113 Lookup Value Navigation Rule 115 Move and Start Rule 116 Navigate Single Remit and Import Remits Rule 125 Numeric Value Navigation Rule 126 Parent Object Navigation Rule 128 Security Rule 137 Set Lookup Value Rule 137 Single Reference Navigation Rule 139 Workflow Teams 148 Workflow Teams Tab for an Object 148 Team Lists 149 Skip Empty Tokens and Groups in Workflow 150 Replace Workflow Team Members 150 Edit the Workflow Teams Tab 150 Use Subgroups to Manage Workflow Team Members 152 Process to Override a Dynamic Group's Membership 152 Examples of Overriding a Dynamic Group 152 Manage Workflow Team Members with Subgroups at the Division Level 153 Set Up the Parent Group and Division 153 Workflow Templates in Compliance 360 3

4 Set Up the Workflow Template 154 Test the Process in the Claims Audit Manager 154 Manage Workflow Team Members with Subgroups at the Folder Level 155 Set Up the Parent Group and Workflow Template 155 Set Up the Folder 156 Test the Process in the Incidents module 157 Manage Workflow Team Members with Subgroups at the Subfolder Level 157 Set Up the Parent Group and Workflow Template 158 Set Up the Policy Manual and Section Subfolders 158 Test the Process in the Policy Manager Module 159 Dynamic Group Troubleshooting Tips 160 Dynamic Group Message Handling 160 Workflow Templates in Compliance 360 4

5 Workflow Templates Workflow templates enable your organization to create standards that dictate the way an object can be routed within the application through a series of steps. Workflow templates should be created based on your organization's process for routing objects from status to status, often involving the routing of it from person to person. Through the use of , employees can be notified when they need to collaborate or review a specific object. Multiple workflow templates can be created and used simultaneously for different divisions, folders, or manuals where applicable. To set up a workflow template, you create workflow steps, which control the flow of object. Within the steps, you set up the elements that control the activity in the step. For example, a workflow template might have Collaboration, Approval, and Publish steps. Within the Collaboration step, the elements might identify the employees, their allowed actions, and when events occur. Within the Approval step, the elements might identify the approval employees, the subject line and body of e- mails to be sent, as well as schedule events for the object. The Publish (formerly known as Lock) step would prevent further changes to the object. Note: Each module has default workflow templates delivered as a part of the creation of a client s environment. Your organization should always preserve default workflow templates by making copies and editing the copies. Elements in the workflow template (steps and rules) enable the workflow designer to automate notifications and status updates, to select the actions available to the user in each phase of the process, and to specify the navigation of the process from one phase to the next. Depending on the specifications of the workflow templates in your organization, some elements of your task may be automated. The diagram below is an example of a basic workflow: Workflow Templates in Compliance 360 5

6 Workflow Elements Workflow templates are comprised of several different elements that allow you to create a route an object must navigate to complete a workflow process. Steps: The building blocks of the workflow template. Each step has a customizable name, description, actions, rules, and messaging. Actions: Options available in the Actions menu of an object. For example, an incident. These options can enable you to manually move the incident from one workflow step to the next. Rules: Controls the navigation, notification timing, and other functions. Workflow Teams Workflow team members are assigned to the steps of a workflow template. Team members collaborate or approve steps in the workflow process. Based on the workflow step type, team members receive notifications requesting action. Workflow Template Changes In addition to creating workflow templates, you can also: Workflow Templates in Compliance 360 6

7 Copy/Move Workflow Templates: Locate the template in the list, click Actions and select Copy/Move. Follow the on-screen instructions and select options as necessary. Note: If you copy a workflow template that has been customized to select a specific value and that value does not exist in the new location then either the alphabetically first value or no value may be automatically selected. Therefore, you may need to manually clean-up these types of steps. Delete Workflow Templates: Locate the template in the list, click Actions and then select Delete. A confirmation message is displayed. Click Yes to delete. Note: By deleting this object you are not able to select this workflow template in the future, however all current uses of it will still work. Import and Export Workflow Templates Workflow Templates in Compliance 360 7

8 Create or Edit a Workflow Template Workflow templates enable your organization to create standards for how an object is routed to certain employees or groups through a series of defined steps. A default workflow template is provided for each object that supports workflow. You can create a custom workflow template for an object by copying a default template and then editing the copy to meet the needs of your organization. Do not edit the default workflow templates. You can also create a blank workflow template for an object and then add workflow steps and actions as needed. If you edit a workflow template, and the workflow template is currently assigned to an object, then the workflow of the object is updated automatically to reflect the changes. 1. Go to the Workflow Templates section of the module. In most modules, workflow templates are configured in the Maintenance > Workflow Templates section of the module. 2. Click Select Division to select the division for the workflow template. 3. In the Type field, select the type of workflow template. The workflow templates for the selected type appears in the Workflow Templates list. 4. To create a workflow template, click New. Or, to edit a workflow template, click Actions > Edit next to the workflow template. If you are editing the workflow template and the workflow template is currently assigned to an object, then a confirmation message appears to warn you that the changes to the workflow template will affect the workflow for those objects. Click Yes to proceed. The Modify Workflow Template page opens, starting with Workflow Template tab. 5. On the Workflow Templates, open the page used to work with workflow templates. To create a workflow template, click New. To edit an existing workflow template, find the appropriate template in the list and click Actions > Edit. If the workflow template is currently assigned to an object, then a confirmation message appears. Click Yes to proceed. The Modify Workflow Template page opens, starting with Workflow Template tab. 6. Enter general information for the workflow template in the Workflow Template Information fields. Field Name Description Description Name for the workflow template. Description of the template to further describe the workflow and when it should be used. Workflow Templates in Compliance 360 8

9 Field Responsible Party Description (Default) Employee who created the workflow template. To change the responsible party, click and select a different employee. 7. Click Save. 8. In the Attachment List, click New to add an attachment to the workflow template. For example, you may want to attach a Microsoft Visio file that represents the workflow. Attachments are not processed with the workflow. See for more information. 9. In the Workflow Steps list, add, copy, delete, and change the order of steps for the workflow. Workflow steps can be set up in any order. For example, a very basic workflow process may include steps in the following sequence: General Modification, Assignment, and Approval. You can also repeat steps and use them more than once based on your business process. For example, you might use the General Modification step twice. The first time you use it as a Planning step, and the second time is used as a Rejected step. Each step is configured based on its purpose. Task Add a workflow step Steps a. Click New. The Workflow Step Type page opens. b. Select the type of step to add. See Workflow Steps for more information on types of workflow steps. The types of steps that are available depend on the module and object. c. Click Save and New Workflow Step to save the step and add another step, or Save and Return if you are finished adding steps to the workflow template. Copy a workflow step Delete a workflow step Click Actions > Copy next to the workflow step. A copy of the step appears at the end of the list of steps with Copy of appended to the beginning of the step name. a. Click Actions > Delete next to the workflow step. A confirmation message appears. b. Click Yes. Change the order of workflow steps Click Actions > Move Up or Actions > Move Down next to the workflow step. 10. Configure the actions, rules, and other settings for each workflow step: a. In the Workflow Steps list, click Actions > Edit next to the workflow step. The Workflow Step Wizard opens, starting with the Step Information tab. b. Enter general information for the workflow step, and then click Next. Workflow Templates in Compliance 360 9

10 c. Proceed through the remaining pages of the wizard. The pages and fields that appear in the wizard depend on the type of workflow step. d. Click Finish. 11. In the Workflow Steps list, select the check box in the Default Step field next to the step that should be the first step in the workflow when the workflow template is assigned to the object. 12. Optionally, click the Security tab and review the list of employees and groups who have access to the workflow template. The workflow template inherits security settings from the division in which it is located. You can override the security settings if necessary. See for more information. 13. When you finish creating or editing the workflow template, click Save and Return. Workflow Templates in Compliance

11 Import and Export Workflow Templates Workflow templates can be imported and exported. Exporting Workflow Templates Users with the proper access may export a workflow template that was created. When the workflow template is exported, it will be an XML file that may later be imported back into the application where applicable. Note: You cannot export a workflow template that does not have any steps. 1. Go to the desired module. 2. Go to the Workflow Templates section. 3. Find the template to export in the Workflow Templates list. 4. Click Actions > Export. 5. On the download location page, go to the location. 6. Click Save. Importing Workflow Templates Users with the proper access may import a workflow template into a specific division. A workflow template exports as an XML file which can then be imported back into the application where applicable. Notes: Users cannot import a workflow template that refers to steps that do not exist. For example, if a user is editing the default workflow template and an entire step is deleted but an existing rule still refers to that deleted step, a message displays if the user tries to import the workflow template. If you import a workflow template that has been customized to select a specific value and that value does not exist in the new location then either the alphabetically first value or no value may be automatically selected. Therefore, you may need to manually clean-up these types of steps. 1. Go to the desired module. 2. Go to the Workflow Templates section. 3. Click Import in the Workflow Templates list. 4. Click Select File on the Import Workflow Template page to locate the XML file to import. The character limit for the file name is 195, and the limit for the directory is 60 characters. The maximum length of the directory and file name is 255 characters. The number of characters for the Workflow Templates in Compliance

12 directory varies based on the length of the client's organization login name. Thus, if the directory length is 65 characters, the file name can only use 190 characters. The maximum file size that may be uploaded is 64 MB. However, if a file is not uploaded successfully, there are multiple reasons why it may not have worked. 5. Mark the Overwrite Existing Messages field if you do not want to use the messages that exist in the system. 6. Click Import. The workflow template is imported and appears in the list when the page refreshes. The imported workflow template may be edited just like any other workflow template. Importing and Exporting Workflow Template That Have Been Translated The workflow template import/export process is separate from the standard Localization process that uses the XML Localization Interchange File Format (XLIFF). If you are exporting a workflow template that has been translated, all the translations will be included in one file, unlike the XLIFF format which requires a file for each language. To export and import workflow elements for translation, use the standard Localization process outlined in the Export Translations and Import Translations topics in the Localization section of Maintenance Help. Workflow Templates in Compliance

13 Tokens in Workflow Templates Tokens are available for use in workflow templates. Use them to represent dynamic values in the application that can be used in place of a value that is different for similar objects. This means you only need to set up one workflow template for use with similar objects, even though their values are different. Refer to What is a Token in Basic Navigation for more information. Related Items Token Types The Related Items token type has been added for use in modules that allow objects to be related to each other. In some cases, your system administrator may need to configure relationships in the Forms Configuration section of the Maintenance module before the token type is available. These objects may be related to others within the same module, such as in the Policy Manager module where policies can be related to each other. Additionally, you may use the Related Items token type when objects in one module are related to objects in a different module. For example, you relate a policy in the Policy Manager module to an incident in the Incidents module. These tokens make it possible to send messages to all of the responsible parties of all the related incidents, even though the same person may not be responsible for all of the related incidents. Use Once the token type is available, configure the desired workflow template the way you normally would. Instead of specifying individual names, use tokens for the approval, collaboration, and notification messages. When the Select Tokens page appears, expand the related object type for a list of all the available tokens. The image below shows a list of tokens available in the Policy Manager module when it is configured to allow policies to relate to other policies as well as incidents and departments in other modules. The first two tokens in the list apply to the additional and primary responsible party of the policy. The Related Policies, Related Incidents, and Departments sections provide a list of available tokens associated with the objects that are related to the policies. Workflow Templates in Compliance

14 Note: The reason the Departments section in the image below is not called Related Departments is because the component was named Departments in Forms Configuration. Workflow Templates in Compliance

15 Global Search and Replace for Workflow Templates Global Search and Replace is available to assist you with updating a workflow template. If a standard piece of text has changed such as a title, you have the ability to search for text and replace it with new text in all of the steps, actions and rules associated with a workflow template. Text may be replaced in the following fields: Workflow Template Name Workflow Template Description Workflow Step Name Workflow Step Description Workflow Step Status Text Workflow Action Name Workflow Action Description Workflow Rule Message Workflow Rule Additional Information It is important to note that searches are case sensitive. For additional information about search criteria, review the Key Considerations section. 1. Go to the module that contains workflow template to be updated. 2. Go to the Workflow Templates section. 3. Find the workflow template in the Workflow Templates list. 4. Click Actions > Replace Text. 5. Enter the text to be replaced in the Replace Text field. 6. Enter the text that must replace the existing text in the With Text field. 7. Select how the system should handle the search in the Search Options field. 8. Mark the Case Sensitive check box field if necessary. This option dictates whether to take case sensitivity into account when replacing text. 9. Select the Replace options to indicate where the existing text should be replaced within the workflow. 10. Click Replace. Key Considerations Search Options Read about the match options and then return to step 8. Workflow Templates in Compliance

16 Match Partial Text: The target replacement field must contain the exact text to be replaced, but it may also contain other text as well. Match Entire Text: The target replacement field must contain the exact text to be replaced and nothing else. Replacing Text in Required Fields Workflow Template Name and Workflow Step Name are required fields. If the replacement text sets leave either one of these fields blank, the original text remains in the fields and the error message, "You have attempted to replace text that would result in a required field containing no text. Please change your replacement text," displays. Case Sensitivity Searches are case sensitive. Specific Characters The asterisk (*) cannot be used as a wildcard character. One letter can be replaced. Replacements are case sensitive (e.g., "The" does not replace "the"). A letter can be replaced with a blank space or letters can replace a blank space. Example Search and Replace You want to replace the blank spaces in the title and description with the letters CAT. Workflow Title: Approval Process Description: Approve Document 1. Click the Replace Text action. 2. Select the Match Partial Text search action. 3. Enter CAT in the With Text field. 4. Make sure that the Workflow Template Name and Description fields are marked. 5. Click Replace. Results Workflow Title: ApprovalCATProcessDescription Description: ApprovalCATDocument Workflow Templates in Compliance

17 Workflow Template FAQs and Examples What is the process if I need to interrupt a collaboration step since the application does not allow me to stop a workflow template during this type of step? If there is a Stop button for the object that stops the collaboration step and goes a general modification step, click the Stop button, which stops the collaboration step, and then add or remove the desired employees or groups. Then click the Start Collaboration step again. However, if there are employees or groups who have already responded initially and now you want to remove them because you are restarting the collaboration step, you can remove them before restarting step. Their responses will still be in the audit trail of the object. I have started a collaboration step and time has passed but it has not moved on to its destination step, what may be the issue? There are two possible issues here. First, if there are collaboration team members, it may be that at least one of them has NOT clicked their respective Collaboration Complete button located in their To Do list to move the object to the next step. The other possibility is that no collaboration team members were ever established for the object. In the absence of any team members, manual intervention is required to move to the next step. See Collaboration Workflow Step for more information. I have started an approval step and time has passed but it has not moved on to its destination step, what may be the issue? There are two possible issues here. First, if there are approval team members, it may be that at least one of them has NOT approved OR rejected the object either from their To Do list or from a personal sent to them if their address has been loaded into the application. The other possibility is that no approval route team members were ever established for the object. In the absence of any team members, manual intervention is required to move to the next step. I have already started an approval route for an object but now discover that the current approval route member is on vacation (or unavailable in general). If I decide that his/her approval is not required, how can I skip that person and go on to the next person? Access the object's Workflow Teams page and locate the Approval Route list for the object. Click the Skip button for the current approval route member. The page refreshes and goes to the next approval route member. If you skip the final approval route member, the object proceeds to the next step. I have NOT yet started my approval route for an object but have found that the very first approval route member is on vacation (or unavailable in general). If I do not want to delete the first member for documentation purposes, how can I start the approval route with the second route member on the list? Once you are ready to begin the approval route process, access the object's Workflow Teams page and locate the Approval Route list for the object. Click the Start button for the approval route member that you wish to start the entire approval route process. Workflow Templates in Compliance

18 How can I make the same step start over and over? If you want the same step to start over once or as many times as needed for some condition to be met, navigate to another step and place a rule on that step to navigate back to the step you want to start. The smallest amount of time that you can enter for this navigation is one day. For example, assume you want step A to restart every 15 days continually. Create a rule on step A that says 14 days after step A begins then navigate to step B. Then on step B, create a rule that says 1 day after step B begins navigate to step A. I have an object that is currently in the Due Soon or Past Due status based on the fact that the object's scheduled revision date is soon or has past. If all I want to change is the scheduled revision date to a future date but not make any more changes, how can I do this? There are two options: -Click Revise for the object and the modify page appears. Change the date, save it, and then click the lock or other named button to make the object in an Approved (or other name) status. This option increases the object's revision number. -You can add to your object's workflow template an action button that when clicked, starts the Approved (or other name) step. This button would be added to the Due Soon and Past Due steps. Additionally, the Edit button will need to be active during these steps. If later, you want to edit the scheduled revision date for an object in the Due Soon or Past Due status, you will edit the object, change the date, save the page, return to the list, and click the button to start the Approved step. This will not change the revision number. What does blank text with brackets mean? Any text added in brackets to a Message Subject or Additional Information field appears as blank text because brackets are I have put a child object list and a parent object on the same page, and now some of my workflow rules are not working. What is the issue? Child object lists and parent objects cannot be located on the same page. This can cause the workflow rules to not function correctly. You need to put them on separate pages when there are child and parent workflow template rules involved. How can I ensure the responsible parties for all my related policies receive approval, collaboration, and/or notification messages sent from workflows? Use Related Items token types in the workflow templates. For more information, refer to the Using Tokens in Workflow Templates topic. Workflow Templates in Compliance

19 In a collaboration workflow step, why does more than one member of a group have the ability to check in or check out a document? In a group of people where they all have change permission, only one member can have the document checked out. However, the responsible party can undo the checkout. What affect does adding more collaboration or approval workflow team members at the workflow template level have on objects that use that workflow template? The new employees, groups, or tokens added to the workflow team in the workflow template will be automatically added to all objects that use that workflow template immediately, unless the object's Use Alternate Team option is selected. They will receive appropriate notifications when the step (Collaboration or Approval) they are assigned to starts. What affect does adding more collaboration or approval workflow team members at the workflow template level have on objects that have already started the collaboration or approval step? The new workflow team members are added as long as the Use Alternate Team checkbox is not selected, but none of the new members are notified to actually start collaborating or approving. If you want a new member to collaborate or approve the object, then you will need to restart the step. This is because the workflow team members have to exist when the collaboration or approval step starts in order to be asked to perform the work. Example Workflow Templates Example 1: Two Statuses for Documents Step Information Step Types Details Unlocked (General Modification) Locked (General Modification in Documents, Locked in Contracts or Policies) Default Step Comments Unlocked An object is either unlocked or locked. When an object is created, the default status is Unlocked. When a user clicks Lock, the status changes from Unlocked to Locked. Workflow Templates in Compliance

20 Example 2: Four Statuses for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks Step Information Step Types Details Planning (General Modification) Collaboration (Collaboration) Review (Approval) Locked (Locked or General Modification if Documents) Default Step Comments Planning When an object is created, it starts as in the Planning status. After a specified time (identified by a rule), the Collaboration step starts and the collaboration team works on the object. At the completion of the Collaboration step, the Review step begins where all those who need to be able to approve or reject the object are given this opportunity. If the object is approved, the Locked step starts. If the object is not approved, it returns to the Planning step. Example 3: Seven Statuses for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks Step Information Step Types Details Planning (General Modification) Collaboration (Collaboration) Review (Approval) Rejected (General Modification) Locked (Locked or General Modification if Documents) Due Soon (General Modification) Past Due (General Modification) Default Step Planning Workflow Templates in Compliance

21 Step Information Comments Details When an object is created, it starts in the Planning status. After a specified time (identified by a rule), the Collaboration step starts and the collaboration team works on the object. At the completion of the Collaboration step, the Review step begins when all those who need to be able to approve or reject the object are given this opportunity. If the object is approved, the Locked step starts. If the object is not approved, the Rejected step starts. When the object is finally locked, the two other statuses that may or may not be used are Due Soon and Past Due. In this case, X days after the locked status has started the Due Soon status can be set up to start. Then Y days after the Due Soon status starts, the Past Due status starts. However, in the case that an employee realizes that the object needs to be revised BEFORE the Due Soon status starts, the object never has the Due Soon or Past Due statuses. Example 4: Signature Party for Contracts, Controls, Documents, Objectives, Policies, Processes, or Risks Step Information Step Types Details Planning (General Modification) Collaboration (Collaboration) Review 1 (Approval) Review 2 (Approval) Locked (Locked or General Modification if Documents) Default Step Planning Comments This example is similar to Example 2 with the addition of a new step called Review 2. The Review 1 step should be used like the other examples where those employees/groups that need to approve or reject the object have the opportunity. The Review 2 step can then be used to specify those one or two individuals who need to review or sign off on every object before it is locked. Example 5: Two Statuses for Control Tests, Risk Assessments, and Surveys Step Information Step Types Details Assignment (Assignment) Completed (Complete) Default Step Assignment Workflow Templates in Compliance

22 Step Information Comments Details In this example a survey is initially assigned to a respondent and when that step is complete, its destination step is the Complete step. Note: When working with workflow templates for risk assessments or control tests, the Complete step is REQUIRED for any calculations to occur. Example 6: Four Statuses for Control Tests, Risk Assessments, and Surveys Step Information Step Types Details Assignment (Assignment) Review (Review) Review by Respondent (Review Respond) (Only in Surveys) Completed (Complete) Default Step Comments Assignment A survey is initially assigned to a respondent. When the respondent has completed the survey, the responses are reviewed by either a specific employee or by someone with a work relationship to the respondent (i.e., supervisor, manager, etc.). If the reviewer created comments that he or she wants the respondent to review, this is done during the Review by Respondent step. (Optionally, there could be another Review step here if a five status workflow template is desired.) Finally, the survey for this respondent is marked as completed. Note: When working with workflow templates for risk assessments or control tests, the Complete step is REQUIRED for any calculations to occur. Workflow Templates in Compliance

23 Workflow Steps Workflow steps enable you to customize and organize a workflow template based on your business process. They are the building blocks of workflow templates. You can customize the name, status indicators, actions, rules, and messaging for each step. Note: Use the Go to Step list at the top of each page of the Workflow Step Wizard to go directly to the same page of the wizard for other steps in the workflow. Any changes to the current step are saved automatically when you go to a different step in the workflow. The steps that are available for a workflow template depend on the module, the object type, and best practices. The following topics provide information on workflow steps. Add or Edit a Workflow Step 1. Go to the Workflow Templates list for the workflow template that includes the workflow step that you want to add or edit, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will affect the object. You must click Yes to proceed. The Modify Workflow Template page opens. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Select the type of step to add, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter general information for the step. All steps include the fields in the following table. Additional fields may be available, depending on the step type. Field Name Description Status Text Status Icon Add Padlock Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Text that describes the status of the object when the object is in the workflow step. Background color of the status icon that appears next to the object when the object is in the workflow step. Whether a padlock appears next to the object when the object is in the workflow step. A padlock is typically used to indicate that the object is locked and should no longer be edited. Workflow Templates in Compliance

24 5. Click Next. Tip: If you plan to use the same type of workflow step multiple times in the workflow template, then you should change the Name and Status Text for the workflow step to help users identify the required work during the step. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. 10. Review the order of the steps in the Workflow Steps list, and change the order if necessary by clicking Actions > Move Up or Actions > Move Down next to each step. The order in which an object moves through the workflow steps depends on the actions and rules that are defined for the workflow step. However, it is helpful to list the steps in sequential order for ease of maintenance and understanding. Use a Step More Than Once in a Workflow Template You can use steps more than once within a workflow template. Available steps include: General Modification: Status Text = Planning The object begins the workflow template in the planning step and moves into the next step. Collaboration: Status Text = Collaboration Team members are notified to begin collaboration, whether all at once or one-by-one. A notification message is placed in their To Do List and sent to an external (if an address is set up in the application). After the last team member completes the collaboration and marks the step complete, it moves to the next step. Approve: Status Text = Review Team members are notified to begin the approval process, whether all at once or one-by-one. A notification message is placed in their To Do List and sent to an external (if an address is set up in the application). If a team member approves the object, it moves into the Locked step; if the object is not approved, it moves to the General Modification step which is being used as a reject step (Status Text = Rejected). General Modification: Status Text = Rejected If an approval team member rejects the object, it is moved to the rejected step to start the process again. Locked (or General Modification Step for the Documents module): Status Text = Locked If the object is approved, it is moved to the locked step. Workflow Templates in Compliance

25 General Modification: Status Text = Due Soon This step can be used with an X number of days rule to mark the object Due Soon and send a message to the team member. if the team members collaborate and approve before the X days, this step may not be used. General Modification: Status Text = Past Due This step can be used with an X number of days rule to mark the object Past Due and send a message to the team member. If the team members collaborate and approve as scheduled, this step may not be used. Repeat Steps Within a Workflow Template You can have a step start over as many times as needed until some condition has been met. To do this, create a rule to navigate to another step and place a rule on that step to navigate back to the previous step. Another rule enables the step to advance once the specific condition is met. The smallest amount of time that you can enter for this navigation is one day. Assume you want step A to restart every 15 days continually. Create a rule in step A that says 14 days after step A begins, navigate to step B. Then, for step B, create a rule that says one day after step B begins, navigate to step A. When you create a workflow template, you might have to create workflow steps and re-edit them within the same setup. For example, in the collaboration step, you can enter a Destination Workflow Step, meaning that after the collaboration step finishes, you can select the approval workflow step to be started. However, if the approval step is not yet set up, you would have to finish setting up the collaboration step, set up the approval step, and then re-edit the collaboration step. Most modules in the application use workflow templates. Creating a workflow template for each module follows the same general procedure: Creating the Template: Identify the template with a name, a description that details the purpose of the template, and a responsible party. Setting Up the Steps: Identify the steps that control the flow of the object through the template. Entering information in each element of the workflow setup: Identify the elements for each step. Control Step Entry Criteria The ability to control conditions in which an object may be allowed to navigate to a workflow step is a powerful tool in building workflows to accommodate sophisticated business processes. Some examples of ways to use this feature include: Preventing investigations from being closed until all related issues have outcomes. Restricting an incident from moving to a Closed step until all of the related investigations are closed. Moving an incident to an Approval step when all of the related investigations are closed. Workflow Templates in Compliance

26 Setting conditions for interviews. For example, if the Interview Topic field is blank (null), do not move the investigation to the next step. Use this feature in conjunction with the Child Object Navigation, Parent Object Navigation, Lookup Value Navigation, Date Navigation, and X Days Navigation workflow rules. These rules should be configured in a step before the Closed step, or wherever the entry conditions are defined. You can control step entry criteria in all step types for incident, investigation, and status update workflow templates in the Incidents module. The Entry Conditions tab is available in all step types in these workflow templates and is used to specify the conditions that must be met for an object to be allowed to enter the workflow step. Single reference lookup fields are used to configure the entry criteria. You can organize conditions in groups that are connected both within the group and between groups by And or Or operators. Caution: Caution is required when configuring complex conditions. The more restrictive the conditions, the less likely that objects are allowed to move to the step. It is possible that conditions could be configured in such a way that would inadvertently prevent objects from ever being allowed to enter the step. You can also create a custom error message to notify users when an object cannot be moved because it does not meet the specified criteria. The following sections provide more information: Key Considerations for Configuring Step Entry Conditions How to Configure Step Entry Conditions Example Configuration of Step Entry Criteria Key Considerations for Configuring Step Entry Conditions Keep the following things in mind as you configure the workflow template: When certain workflow rules, such as the Parent Object Navigation or Child Object Navigation, are used to move objects to a step, the criteria set within each rule are evaluated before the object navigation occurs. This means if the object does not meet the criteria, the object is not moved to the designated destination step. Be sure you do not create a situation through the workflow rule or entry condition criteria that would essentially put the object in an unmovable state. A default limit of five (5) criteria has been applied to your site. Contact your SAI Global account representative if this limit needs to be increased. For organizations that have implemented the Localization module, the comparison criteria used in the rules' configuration is handled in the organization's default base language. How to Configure Step Entry Conditions 1. Go to Operations > Incidents > Maintenance. 2. Click Workflow Templates on the submenu. Workflow Templates in Compliance

27 3. In the Division field, enter the division for the workflow template or click to select the division. The default workflow templates are available in the Global division. 4. From the Type list, select the type of workflow template to manage. 5. In the Workflow Templates list, find the workflow template and click Actions > Edit. The Modify Workflow Template page opens. 6. In the Workflow Steps list, find the workflow step and click Actions > Edit. Important: Do not put entry conditions on the first step in a workflow. Compliance 360 is designed in such a way that certain objects must use workflows, and the objects must be immediately be assigned to the first, default step. If the workflow rule is applied to the first step in the workflow template, the rule does not work on the initial iteration. This means when the workflow template is assigned to an investigation, the rule does not execute. If a later step has a rule that moves the investigation back to the initial step in the workflow, the rule will execute. The Workflow Step Wizard opens, starting with the Step Information tab. 7. Click the Entry Conditions tab. 8. In the Condition Information section, click New Condition. A Custom Error Message field and a Condition Group appear. 9. In the Custom Error Message field, enter a custom message that appears to users when they attempt to move an object to this step but the object does not meet the step entry criteria. If you leave the field blank, system error message appears, which may not provide a clear idea of why the object cannot be moved to this step. 10. In the Condition Group section, enter information for the first step entry condition. Field Component Quantifier Field Description Type of object that is being evaluated for the condition: Investigation, Incident, Issue, or Interview. Whether Any of the fields can meet the criterion, or All of the fields must meet the criterion. This option may not be available for every object. Field from the selected object to use as the basis for the criterion. Only single reference lookup fields are available. Text and date fields do not appear in the list of options. Workflow Templates in Compliance

28 Field Operator Description Operator to evaluate the field: Select Is Equal To if the field must contain the specified value. Select Is Not Equal To if the field must not contain the specified value. Field Type Indicates the condition will be compared against a specific value configured within the line of criteria. Currently, Specific Value is the only option in the list. It indicates the condition will be compared against a specific value configured within the entry condition itself. This field lays the groundwork for future enhancements. Value Value that the specified field should contain. A blank (null) value is acceptable, assuming you want to take action on components that do not have a field value. 11. (Optional) Add another condition to the condition group: a. Click. Another row appears in the condition group for the new condition. b. Enter values in the fields for the condition. c. Repeat the previous two steps to add as many conditions as necessary to the condition group. d. (Optional) To remove a condition from the condition group, click next to the condition. e. From the condition group operator list in the top right corner of the condition group, select And if all of the conditions in the condition group must be met, or Or if only one of the conditions in the condition group must be met. The system evaluates each condition in the order in which they are listed. 12. (Optional) Add another condition group: a. Click Add Condition Group. Another Condition Group section appears on the page. b. Enter values in the fields for the first condition in the group. c. Click and then add more conditions as necessary. d. From the condition group operator list in the top right corner of the condition group, select And if all of the conditions in the condition group must be met, or Or if only one of the conditions in the condition group must be met. The system evaluates each condition in the order in which they are listed. e. From the Grouping Operator list at the top of the list of condition groups, select And if the conditions in all condition groups must be met before the object can move to the step, or Or if the conditions from only one of the condition groups must be met. The system evaluates each condition group in the order in which they appear on the page. 13. When you finish configuring conditions and condition groups for the workflow step, click Finish. Workflow Templates in Compliance

29 Example Configuration of Step Entry Criteria The example configuration in this section illustrates how to configure the workflow template for an investigation to prevent the investigation from being closed until all related issues have outcomes. The example assumes that the following configuration has already occurred: The Issue page includes the Outcome field, which is a single reference lookup field with values configured as described in the topic on configuring an Incidents module type for investigations in the Incidents section of the Help. The workflow template for the investigation contains more than one step. The first step is Planning (a General Modification step), and the final step is Closed (also a General Modification step). The Planning step has a Close action (intent) that moves the investigation to the Closed step. An incident has been created, and an investigation has been created for the incident. The investigation includes multiple issues with values selected in the Outcome field. The investigation is in the Planning step of the workflow template. To set up the step entry criteria to prevent the investigation from being closed until all related issues have outcomes: 1. Open the investigation workflow template: a. Go to Operations > Incidents > Maintenance. b. Click Workflow Templates on the submenu. c. In the Division field, enter the division for the workflow template or click to select the division. The default workflow templates are available in the Global division. d. From the Type list, select Investigation. e. In the Workflow Templates list, find the workflow template and click Actions > Edit. The Modify Workflow Template page opens. 2. In the Workflow Steps list, find the Closed workflow step and click Actions > Edit. Important: Do not put entry conditions on the first step in a workflow. Compliance 360 is designed in such a way that certain objects must use workflows, and the objects must be immediately be assigned to the first, default step. If the workflow rule is applied to the first step in the workflow template, the rule does not work on the initial iteration. This means when the workflow template is assigned to an investigation, the rule does not execute. If a later step has a rule that moves the investigation back to the initial step in the workflow, the rule will execute. The Workflow Step Wizard opens, starting with the Step Information tab. 3. Click the Entry Conditions tab. 4. In the Condition Information section, click New Condition. Workflow Templates in Compliance

30 5. In the Custom Error Message field, enter Do not close the investigation unless all issues have outcomes. 6. In the Condition Group section, enter the following information for the step entry condition. Field Value to Enter or Select Component Issue Quantifier Field Operator Field Type Value All Outcome Is Equal To Specific Value Null (No Value) 7. Click Finish. The purpose of the Value field for the condition is to indicate the value that is required for the Outcome field for the investigation to move to the Closed step. Since the only requirement is that all of the issues have outcomes, the field must contain a value and must not be blank (null). Therefore, if the field is blank, the investigation is not closed. If this field has a value, the investigation is closed. With this configuration, when the investigation is in the Planning step of the workflow template and the analyst clicks Close, the system verifies whether all of the Outcome fields have values. If all of the Outcome fields have values, then the investigation moves to the Closed step. However, if any of the Outcome fields are blank, then the Do not close the investigation unless all issues have outcomes error message appears when the analyst clicks Close, and the investigation remains in the Planning step. Copy a Workflow Step To save time when configuring workflow templates, you can create a copy of a workflow step the same workflow template. 1. Go to the Workflow Templates list for the workflow template that includes the workflow step that you want to copy, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will affect the object. You must click Yes to proceed. The Modify Workflow Template page opens. 2. In the Workflow Steps list, find the workflow step that you want to copy, and click Actions > Copy next to the workflow step. The copy of the workflow step appears below the source workflow step in the Workflow Steps list with the name Copy of step name, where step name is the name of the source workflow step. Workflow Templates in Compliance

31 Delete a Workflow Step 1. Ensure that there are no objects that are currently in the workflow step that you want to delete. You cannot delete a workflow step if an object is currently in the step. 2. Go to the Workflow Templates list for the workflow template that includes the workflow step that you want to delete, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will affect the object. You must click Yes to proceed. The Modify Workflow Template page opens. 3. In the Workflow Steps list, find the workflow step that you want to delete, and click Actions > Delete next to the workflow step. A confirmation message appears. 4. Click Yes. Types of Workflow Steps The following table lists the types of workflow steps in Compliance 360. The steps that are available for a workflow template depend on the module, the object type, and best practices. The topic for each step provides details on how to add the step to a workflow template, including a description of available options. Step Type Acceptance Approval Archive Assignment Collaboration Complete General Modification Planning Description Sends a notification message that enables a user to accept or reject a task assignment. Sends a notification message to the specified users in the approval team to review and either approve or reject an object. Used for risk screenings in the Third Party Risk Management module to complete the risk screening process. When a user archives a risk screening, then the risk screening cannot be re-opened. A new risk screening must be created. Sends a notification message to users who are responsible for performing work on an object, and enables the users to perform non-collaboration, non-approval, and non-lock activities on an object, such as editing or deleting the object. Sends a notification message to the specified members of a collaboration team so that the team members can work together to edit the object. Signifies the end of the workflow process for the object. Enables users to perform non-collaboration, non-approval, and non-lock activities on an object, such as editing or deleting the object. Used for risk screenings in the Third Party Risk Management module for a planning stage when the risk screening is available for editing and is not ready to start. Workflow Templates in Compliance

32 Step Type Publish Review Review Results Description Enables the user to publish (lock) an object to prevent further changes to the object. Sends a notification message to a user to review an object. The reviewer can make comments on each response that can optionally be seen by the respondent. Used for risk screenings in the Third Party Risk Management module to route the risk screening to team members to review and process the results. Rules on this step enable continued ongoing screening throughout the review process. The steps to add a Review Results workflow step are the same as the steps to add a Collaboration workflow step. Acceptance Workflow Step The Acceptance workflow step sends a notification message that enables a user to accept or reject a task assignment. Tasks are created as part of a project plan or to organize different items that must be completed for another object, such as a meeting, audit, or assessment. Before You Add the Workflow Step Optionally configure a Task Acceptance Assignment message in Maintenance > Messaging > Messages. How to Add the Workflow Step 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Acceptance, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Accepted Workflow Step Rejected Workflow Step Status Text Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Step that the object moves to if the user accepts the task assignment. Step that the object moves to if the user rejects the task assignment. Text that describes the status of the object when the object is in the Acceptance step. Workflow Templates in Compliance

33 Field Status Icon Add Padlock Description Background color of the status icon that appears next to the object when the object is in the Acceptance step. Whether a padlock appears next to the object when the object is in the Acceptance step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. The Acceptance Message page appears. 6. Enter information for the message that is sent to users so that they can accept or reject the task assignment. Field Message to Send Message Subject Additional Information Description Type of task message to send. Typically this is the Task Acceptance Assignment message. Messages are configured in Maintenance > Messages > Messaging. Subject of the notification message that is sent to the user that the task is assigned to. You can enter text and click to use a token. Text that appears in the body of the notification message that is sent to the user that the task is assigned to. You can enter text and click to use a token. 7. Click Next. Note: Do not use brackets in either the Message Subject field or the Additional Information field. Text in brackets does not appear in the notification message because brackets are reserved for tokens in these fields. 8. On the Actions tab, add the required actions for the object during this workflow step. 9. Click Next. 10. On the Rules tab, add rules to the workflow step as necessary. 11. Click Finish. Approval Workflow Step The Approval workflow step sends a notification message to members of an approval team to review and either approve or reject an object. The message includes a hyperlink that enables each approval team member to approve or reject the object from the message. The link is only valid for seven days from the date that the message is sent. If a second message is sent as a reminder to approve or reject the object, then the user must use the hyperlink in the new message because the message in the first message becomes obsolete. When you add the workflow step, you select the users who are members of the approval team for each object that uses the workflow template. You can select individual users, groups, or a token. Workflow Templates in Compliance

34 Note: If a user needs to approve or reject a single object and not all objects that use the workflow template, then add the user to the Approval Team List on the Workflow Teams tab for the object. Do not add the user to Approval Team List for the workflow step. For example, if all executives must approve a contract, then add the executives on the workflow step. If a manager in the IT department needs to approve a single contract, then add the manager on the Workflow Teams tab for the contract. You can also configure the workflow step to delegate the task of approving or rejecting an object from one user to another user. For example, employees may want their managers to be able to approve or reject an object for them if they are not available. Before You Add the Workflow Step Optionally configure an Approval Request message for the object in Maintenance > Messaging > Messages. If a user wants to delegate the task of approving or rejecting the object, then go to Maintenance > Employee Management > Employees and add the delegate in the Relationships list on the Employee Information tab for the user. How to Add the Workflow Step 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Approval, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Approved Workflow Step Rejected Workflow Step Status Text Status Icon Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Step that the object moves to if the object is approved. Step that the object moves to if the object is rejected. Text that describes the status of the object when the object is in the Approval step. Background color of the status icon that appears next to the object when the object is in the Approval step. Workflow Templates in Compliance

35 Field Add Padlock Description Whether a padlock appears next to the object when the object is in the Approval step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. The Approval Request Message page appears. 6. Enter information for the message that is sent to members of the approval team so that they can approve or reject the object. Field Message to Send Message Subject Additional Information Description Type of message to send. Typically this is the Approval Request message for the object type. Messages are configured in Maintenance > Messages > Messaging. Subject of the notification message that is sent to the user that must approve or reject the object. You can enter text and click to use a token. Text that appears in the body of the notification message that is sent to the user that must approve or reject the object. You can enter text and click to use a token. Note: Do not use brackets in either the Message Subject field or the Additional Information field. Text in brackets does not appear in the notification message because brackets are reserved for tokens in these fields. 7. Click Next. The Approval Route page appears. 8. Configure options for the approval route. a. To move the object to the workflow step that was selected as the Rejected Workflow Step if a single user rejects the object, then select the Single Group Member Rejection Stops Approval Immediately check box. b. In the Minimum Group Approval Percent field, enter the minimum percentage of users in the group who must approve the object for the object to move to the workflow step that was selected as the Approved Workflow Step. This field applies only if you add a group to the Approval Team List. If you do not specify a value, then the default value of 100% is used. c. From the Auto Advance Option list, select whether the object moves to another step in the workflow if there are no users in the Approval Team List. This situation can occur if you do not add a user, group, or token to the list in the workflow step or on the Workflow Teams tab for the object, or if the selected groups or tokens are empty and the Skip If Empty option is enabled for the groups or tokens in the Approval Team List. Workflow Templates in Compliance

36 Option Do Not Auto Advance Auto Advance to Approved Step Auto Advance to Rejected Step Description The object remains in the Approval step. Manual intervention is required to move the workflow forward. The object moves to the step specified in the Approved Workflow Step field on the Step Information tab. The object moves to the step specified in the Rejected Workflow Step field on the Step Information tab. d. In the Approval Team List, select the users who should approve or reject the objects that use this workflow template. Click Add Employee to add one or more employees, Add Group to add one or more groups, or Add Token to select a token. Note: Generally, you select either individual users or groups, but not both. If you select individual users, then the approval request is sent to each user one at a time, sequentially based on the order in the list. If a user rejects the object, then the object is not sent to the next user in the list. However, if you select a group, then an approval request message is sent to all users in the group at the same time rather than in sequential order. e. For each user, group, or token, select the following options as necessary: Field Relationship Grant Permission Skip If Empty Description If a user wants to delegate the task of approving or rejecting the object, then select the delegate from the list. To grant a user a different permission level during this workflow step, select the permission level from the list. For example, if the user has View permission for an object by default but requires Change permission to approve the object, then you can temporarily grant the user Change permission just for this workflow step. (Groups and tokens only) Select the check box to skip the group or token if there are no users in the group or if no user is associated with the token. f. To move a user or group up or down in the Approval Team List to control the order in which the users or groups approve the object, click Actions > Move Up or Actions > Move Down next to the user or group. 9. Click Next. 10. On the Actions tab, add the required actions for the object during this workflow step. 11. Click Next. 12. On the Rules tab, add rules to the workflow step as necessary. 13. Click Finish. Workflow Templates in Compliance

37 Archive Workflow Step The Archive workflow step is used for risk screenings in the Third Party Risk Management module to complete the risk screening process. When a user archives a risk screening, then the risk screening cannot be re-opened. A new risk screening must be created. 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Archive, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Status Text Status Icon Add Padlock Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Text that describes the status of the object when the object is in the Archive step. Background color of the status icon that appears next to the object when the object is in the Archive step. Whether a padlock appears next to the object when the object is in the Archive step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. Assignment Workflow Step The Assignment workflow step sends a notification message to users who are responsible for performing work on an object, and enables the users to perform non-collaboration, non-approval, and non-lock activities on an object, such as editing or deleting the object. Assigned users are specified on the object, such as the responsible auditor for a step in an audit or the assignee for an assessment. Before You Add the Workflow Step Optionally configure an Assignment message for the object in Maintenance > Messaging > Messages. Workflow Templates in Compliance

38 How to Add the Workflow Step 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Assignment, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Destination Workflow Step Status Text Status Icon Add Padlock Assign To Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. The workflow step that the object moves to when the assigned user selects the Complete action for the object. Text that describes the status of the object when the object is in the Assignment step. Background color of the status icon that appears next to the object when the object is in the Assignment step. Whether a padlock appears next to the object when the object is in the Assignment step. A padlock is typically used to indicate that the object is locked and should no longer be edited. (Forum workflow templates only) User who is assigned to respond to a topic post in a forum. Select one of the following options: Employee Assigns a specific user. Enter a name or click to select a name. A Moderator of the Forum (Round Robin) Assigns the moderators to rotate responsibility. For example, Moderator A replies to the first topic, Moderator B replies to the second topic, and so on. All Moderators of this Forum (Single Response) Similar to the Round Robin selection, but can be used if there is only one moderator forum. All Moderators of this Forum (Multiple Responses) Sends an to all moderators when a new topic is submitted. The reply from the first moderator to reply is saved. Topic Settings (Forum workflow templates only) Select or clear the check boxes to configure whether the topic is Visible in the forum and whether to Allow additional replies by other forum members. Workflow Templates in Compliance

39 Tip: You may want to change the Name and Status Text for the workflow step to Planning, Rejected, Revision, or other name to repeat this step as necessary and to help members identify the required work during the step. 5. Click Next. The Assignment Message or Assignment Request Message page appears. 6. Enter information for the message that is sent to notify users that the object has been assigned to them. Field Notify Task CCs Message to Send Message Subject Additional Information Description (Task workflow templates only) Whether to notify the users in the Task CCs list for the task that the task was assigned. Type of message to send. Typically this is the Assignment message for the object type. Messages are configured in Maintenance > Messages > Messaging. Subject of the notification message that is sent to the user that the object is assigned to. You can enter text and click to use a token. Text that appears in the body of the notification message that is sent to the user that the object is assigned to. You can enter text and click to use a token. 7. Click Next. Note: Do not use brackets in either the Message Subject field or the Additional Information field. Text in brackets does not appear in the notification message because brackets are reserved for tokens in these fields. 8. On the Actions tab, add the required actions for the object during this workflow step. 9. Click Next. 10. On the Rules tab, add rules to the workflow step as necessary. 11. Click Finish. Collaboration Workflow Step The Collaboration workflow step sends a notification message to members of a collaboration team so that the team members can work together to edit the object. When you add the workflow step, you select the users who are members of the collaboration team for each object that uses the workflow template. You can select individual users, groups, or a token. Workflow Templates in Compliance

40 Note: If a user should work on a single object and not all objects that use the workflow template, then add the user to the Collaboration Team List on the Workflow Teams tab for the object. Do not add the user to Collaboration Team List for the workflow step. For example, if all employees in the HR department must work on all HR policies, then add the HR employees on the workflow step. If a member of the Legal team needs to work on a single policy, then add the Legal team member on the Workflow Teams tab for the policy. You can also configure the workflow step to delegate the task of working on the object from one user to another user. For example, employees may want their managers to be able to work on an object for them if they are not available. Before You Add the Workflow Step Optionally configure a message to request collaboration on the object in Maintenance > Messaging > Messages. If a user wants to delegate the task of working on the object, then go to Maintenance > Employee Management > Employees and add the delegate in the Relationships list on the Employee Information tab for the user. How to Add the Workflow Step 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Collaboration, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Destination Workflow Step Status Text Status Icon Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. The workflow step that the object moves to when a member of the collaboration team selects the action that indicates that the work on the object for this workflow step is complete. Text that describes the status of the object when the object is in the Collaboration step. Background color of the status icon that appears next to the object when the object is in the Collaboration step. Workflow Templates in Compliance

41 Field Add Padlock Description Whether a padlock appears next to the object when the object is in the Collaboration step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. The Collaboration Request Message page appears. 6. Enter information for the message that is sent to members of the collaboration team to notify them to work on the object. Field Description Message to Send Type of message to send. Messages are configured in Maintenance > Messages > Messaging. Message Subject Additional Information Subject of the notification message that is sent to members of the collaboration team. You can enter text and click to use a token. Text that appears in the body of the notification message that is sent to members of the collaboration team. You can enter text and click to use a token. Note: Do not use brackets in either the Message Subject field or the Additional Information field. Text in brackets does not appear in the notification message because brackets are reserved for tokens in these fields. 7. Click Next. The Collaboration Team page appears. 8. Configure options for the collaboration team. a. Select the order in which the collaboration should be handled in the Collaboration Order field. Option All at once One at a time: Description All members of the collaboration team are notified at the same time to work on the object. Team members do not have to wait for one team member to finish before they can start. Team members review the object and make changes in a predetermined order. Each team member must finish working before the next team member can begin. The order of the team members in the list determines the order in which team members collaborate. If you add a group or token to the collaboration team list, then all users in the group and each user associated with a token members are notified at the same time. b. To automatically move the object to another step in the workflow if there are no users in the Collaboration Team List, select the Enable Auto Advance check box. This situation can occur if you Workflow Templates in Compliance

42 do not add a user, group, or token to the list in the workflow step or on the Workflow Teams tab for the object, or if the selected groups or tokens are empty and the Skip If Empty option is enabled for the groups or tokens in the Collaboration Team List. c. In the Collaboration Team List, select the users who should collaborate on the objects that use this workflow template. Click Add Employee to add one or more employees, Add Group to add one or more groups, or Add Token to select a token. Note: Generally, you select either individual users or groups, but not both. If you select individual users, then the collaboration request message is sent to each user one at a time, sequentially based on the order in the list. If a user rejects the object, then the object is not sent to the next user in the list. However, if you select a group, then a collaboration request message is sent to all users in the group at the same time rather than in sequential order. d. For each user, group, or token, select the following options as necessary: Field Relationship Grant Permission Skip If Empty Description If a user wants to delegate the task of working on the object, then select the delegate from the list. To grant a user a different permission level during this workflow step, select the permission level from the list. For example, if the user has View permission for an object by default but requires Change permission to work on the object, then you can temporarily grant the user Change permission just for this workflow step. (Groups and tokens only) Select the check box to skip the group or token if there are no users in the group or if no user is associated with the token. e. To move a user or group up or down in the Collaboration Team List to control the order in which the users or groups work on the object, click Actions > Move Up or Actions > Move Down next to the user or group. 9. Click Next. 10. On the Actions tab, add the required actions for the object during this workflow step. 11. Click Next. 12. On the Rules tab, add rules to the workflow step as necessary. 13. Click Finish. Tip: To prevent an object from getting stuck in a collaboration step because a team member has not taken action, add a rule that sends a reminder message to members who have not completed their tasks within a specified number of days after the object moves to the Collaboration step. Workflow Templates in Compliance

43 Complete Workflow Step The Complete workflow step signifies the end of the workflow process for an object. This step is used in workflow templates for the following object types: Assessments Assessment assignments Content assessments in Compliance Workspace Forums Risk assessments and control tests in Enterprise Risk Management (ERM) Tasks When working with workflow templates for risk assessments or control tests, the Complete step is required for any calculations to occur. When working with workflow templates for forums, the Complete step is required for any subscription messages to be sent. 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Complete, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Automatic Closing Options Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. (Task workflow templates only) Select or clear the check boxes to configure options for when the task is closed: Use this Step when the Task is Automatically Closed Moves the task process to this step when the task is closed. Set the Actual Finish Date to Today Sets the actual finish date for the task to the date that the task is closed. Set the Percent Complete To [value] Sets the completion percentage for the task to the value that you enter in the field. Status Text Text that describes the status of the object when the object is in the Complete step. Workflow Templates in Compliance

44 Field Status Icon Add Padlock Description Background color of the status icon that appears next to the object when the object is in the Complete step. Whether a padlock appears next to the object when the object is in the Complete step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. General Modification Workflow Step The General Modification workflow step enables users to perform non-collaboration, non-approval, and nonlock activities on an object, such as editing or deleting the object. 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click General Modification, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Status Text Status Icon Add Padlock Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Text that describes the status of the object when the object is in the General Modification step. Background color of the status icon that appears next to the object when the object is in the General Modification step. Whether a padlock appears next to the object when the object is in the General Modification step. A padlock is typically used to indicate that the object is locked and should no longer be edited. Workflow Templates in Compliance

45 5. Click Next. Tip: You may want to change the Name and Status Text for the workflow step to Planning, Rejected, Revision, or other name to repeat this step as necessary and to help members identify the required work during the step. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. Planning Workflow Step The Planning workflow step is used for risk screenings in the Third Party Risk Management module to begin the risk screening process. The risk screening is in a planning stage where it is available for editing and is not ready to start. 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Planning, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Status Text Status Icon Add Padlock Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Text that describes the status of the object when the object is in the Planning step. Background color of the status icon that appears next to the object when the object is in the Planning step. Whether a padlock appears next to the object when the object is in the Planning step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. Workflow Templates in Compliance

46 Publish Workflow Step The Publish workflow step enables the user to publish (lock) an object to prevent further changes to the object. 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Publish, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Status Text Status Icon Add Padlock Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. Text that describes the status of the object when the object is in the Publish step. Background color of the status icon that appears next to the object when the object is in the Publish step. Whether a padlock appears next to the object when the object is in the Publish step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. 6. On the Actions tab, add the required actions for the object during this workflow step. 7. Click Next. 8. On the Rules tab, add rules to the workflow step as necessary. 9. Click Finish. Review Workflow Step The Review workflow step sends a notification message to a user to review an object. The reviewer can make comments on each response that can optionally be seen by the respondent. Before You Add the Workflow Step Optionally configure a review message in Maintenance > Messaging > Messages. Workflow Templates in Compliance

47 How to Add the Workflow Step 1. Go to the workflow template that you want to add the step to. 2. In the Workflow Steps list, click New. The Modify Workflow Template page appears, starting with the Workflow Step Type page. 3. Click Review, and then click Save. The Workflow Step Wizard opens, starting with the Step Information page. 4. Enter information for the step. Field Name Description Assign To Description Text that identifies the workflow step. Text that describes the workflow step, such as the purpose or intent of the step. User who is assigned to review the object. Select one of the following options: Specific Employee Assigns a specific user by name. Enter the name or click to select a user. Use Relationship Assigns a user with a relationship to the respondent. Select the relationship type from the list. Assessment Field Assigns a user from one of the assessment fields, such as the responsible party for the assessment. Grant Permission Status Text Status Icon Add Padlock To grant a user a different permission level during this workflow step, select the permission level from the list. For example, if the user has View permission for an object by default but requires Change permission to review the object, then you can temporarily grant the user Change permission just for this workflow step. Text that describes the status of the object when the object is in the Review step. Background color of the status icon that appears next to the object when the object is in the Review step. Whether a padlock appears next to the object when the object is in the Review step. A padlock is typically used to indicate that the object is locked and should no longer be edited. 5. Click Next. The Review Message page appears. 6. Enter information for the message that is sent to users so that they can review the object. Workflow Templates in Compliance

48 Field Message to Send Message Subject Additional Information Description Type of message to send. Typically this is a review message for the object, such as the Assessment Review message. Messages are configured in Maintenance > Messages > Messaging. Subject of the notification message that is sent to the reviewer. You can enter text and click to use a token. Text that appears in the body of the notification message that is sent to the reviewer. You can enter text and click to use a token. 7. Click Next. Note: Do not use brackets in either the Message Subject field or the Additional Information field. Text in brackets does not appear in the notification message because brackets are reserved for tokens in these fields. 8. On the Actions tab, add the required actions for the object during this workflow step. 9. Click Next. 10. On the Rules tab, add rules to the workflow step as necessary. 11. Click Finish. Workflow Templates in Compliance

49 Workflow Actions Actions are intents that you include in workflow steps to allow users to edit the object, move it along in the workflow, submit it for approval, etc. The topics in this section provide a basic understanding of how to configure the actions. You may use actions in conjunction with workflow rules to build more complex workflow templates. Information about rules follow in a later section. Set Up the Actions Element The Actions element enables a user to customize the actions that appear in the Actions column for a specific step, such as Edit, Copy, Attach, etc. The element is found on the Actions tab of the Workflow Step Wizard. You can change the permission required to use the actions as well as add your own that facilitate workflow navigation. Custom navigation actions are optional, but they can be helpful if there is ever a need to manually move an object from one step to another. Note: For example, assume a workflow template has four steps: Planning, Collaboration, Review, and Locked. How can you move the object from the Planning step to the Collaboration step? While you can use a rule such as [X] Days Navigation, this requires that you create a generalized rule for when to make the transition for each object. So there is a possibility that the transition can happen either too early or too late. However, if you have a custom action for the object, the responsible party can click the custom action in the Planning step to move the object to the Collaboration step. Some modules have a Delegate an Assignment Action that you can use to allow the delegation of an action to another employee. In the appropriate workflow step, select Actions > Workflow Delegation. An employee can be selected and tasked with the assignment on the Workflow Delegation page. The Resend Message Action is available on Approval, Collaboration, Review, and Assignment message steps. If you want to apply an action to all of the steps in the workflow, read the Apply a Workflow Action to All Steps topic. After you set up the Action Element, you can move the actions up and down in the list so they appear in the order you want. 1. Go to the Workflow Templates section of a module. 2. Find the template in the Workflow Templates list. 3. Click Actions > Edit. 4. Find the step to be updated in the Workflow Steps list. 5. Click Actions > Edit. Workflow Templates in Compliance

50 6. Click the Actions tab. 7. Find an action you want to edit in the Workflow Action List. 8. Click Actions > Edit. 9. Verify the name for this action in the Name field. 10. Verify the description for this action in the Description field. 11. Select a different icon for the action in the Icon field. This icon represents the action when it appears in the object's Actions menu. 12. Select an option in the Required Permissions field. This is the minimum permission required to see the action in the object's Actions menu. 13. Select the Active? field to activate the action. Clear this field to remove the action from use. Note: For example, an organization may decide that when an object is in the Published (Locked) status, nobody can delete it. To do this, clear the Active? field for the Delete action when editing the Published step. 14. Select an option in the Destination Step field. This field is used to customize the destination of a custom action. For example, if you want to move from Step A to Step B, when editing Step A, the Destination Step for the custom action would be Step B. 15. Click Actions > Save. If you do not save the action before clicking Finish, the changes will be lost. 16. Click Finish. Apply a Workflow Action to All Steps Workflow actions are associated with steps in the workflows. Each step has several actions available by default. You may add new actions or edit existing ones in any step. When you create an action that needs to be Workflow Templates in Compliance

51 added to all steps, simply add the action to a workflow step and indicate that it should be propagated to all steps in that workflow. There are two ways to propagate a workflow step action: Apply to All Steps: Available in the Actions field for the existing actions. Save to All Steps: Available when you create a new workflow action. When one of these actions is used, the action's name, description, icon, required permissions, active status, page/operation and destination step are copied to the target actions. Create an Action and Apply It to All Workflow Steps 1. Create a workflow template, or open an existing one. 2. Add a workflow step to the workflow if necessary. 3. Find the step in the Workflow Steps list. 4. Click Actions > Edit. 5. Click the Actions tab. 6. Click New located at the top of the Workflow Action List display. 7. Go to the new action entry at the bottom of the list. 8. Enter the name of the action in the Name column. 9. Enter a short description in the Description column. 10. Select an image in the Icon column. Notes: We recommend that you do not change the icon. You should be consistent with the use of icons so you do not confuse the user with the intent of the action from module to module, workflow to workflow. Attachment and Comment icons cannot be changed. 11. Specify the permission level in the Required Permissions column. 12. Mark the check box in the Active? column if the action is active. 13. Select the step to navigate to in the Destination Step column. 14. Click Actions > Save to All Steps. 15. Click Finish. Workflow Templates in Compliance

52 Apply an Existing Action to All Workflow Steps 1. Create a workflow template, or open an existing one. 2. Add a workflow step to the workflow if necessary. 3. Find the step in the Workflow Steps list. 4. Click Actions > Edit. 5. Click the Actions tab. 6. Find the action in the Workflow Action List. 7. Click Actions > Apply to All Steps. 8. Click Finish. Key Considerations Action names cannot be changed for system actions (i.e., actions created by the system like Edit). To delete an action from all of the steps, you must remove it from each step individually. Use the Action Icons When you configure workflow actions, it is important to select an icon that reflects the particular action the icon will represent. Attachment and Comment Icons When selecting an icon to use for a custom action, it is not a good idea to use the Attachment ( ) or Comment ( ) icons. A number appears next to the icons ( / ) that represents the total number of attachments/comments that are associated with the object. This can create confusion when these icons are used with other custom actions. Create a Custom Action Element You can create a custom action to provide an option so a user can manually move an object from one workflow step to another. 1. Go to the Workflow Templates section of the module that contains the workflow template to edit. 2. Find the template in the Workflow Templates list. 3. Click Actions > Edit. 4. Find the step to be updated in the Workflow Steps list. Workflow Templates in Compliance

53 5. Click Actions > Edit. 6. Click the Actions tab. 7. Click New in the Workflow Action List. The new workflow action appears in the list. 8. Enter a name for this action in the Name field. 9. Enter a description for this action in the Description field. 10. Select an icon for the action in the Icon column. This icon represents the action when it appears in the object's Actions menu. 11. Select an option in the Required Permissions field. This is the minimum permission required to see the action in the object's Actions menu. 12. Select the Active? field to activate the action. Clear this field to remove the action from use. Note: For example, an organization may decide that when an object is in the Published (Locked) status, nobody can delete it. To do this, clear the Active? field for the Delete action when editing the Published step. 13. Select an option in the Destination Step field. This field is used to customize the destination of a custom action. For example, if you want to move from Step A to Step B, when editing Step A, the Destination Step for the custom action would be Step B. 14. Click Actions > Save. If you do not save the action before clicking Finish, the changes will be lost. 15. Click Finish. Workflow Templates in Compliance

54 Intent/Page Operations for Workflow Templates Modules built on foundation architecture (FA) include intent/page operations in their workflow actions. Intents allow workflow designers to determine what happens when a user selects a workflow action. Access the actions Intent/Page Operations column by creating a step in a workflow. Depending on the module's platform, the intent options vary. Determine a Module's Platform 1. Go to Maintenance > System Management > Modules. 2. Find the module in the list. FA 2.0 Options 1. Go to the Workflow Action List in an FA 2.0 workflow template. 2. Find the action to edit. 3. Click Actions > Edit. 4. Click in the Intent/Page Oper. column. 5. Select the Execute Page option on the Select or Operation page. This allows you to open a specific page when the workflow action is clicked and control what happens once the page is submitted. 6. Select the page that is to be opened when the workflow action is selected in the Page field. 7. Select the action to be taken when the form is submitted in the Execute on Page Submit field. 8. Select what happens after the page is submitted in the After that Execute field. 9. Select Execute Operation to trigger the action to be taken when the action executes. 10. Select the action that triggers in the Execute field. 11. Click Select. 12. Click Actions > Save next to the action in the Workflow Action List. FA 3.0 Options 1. Go to the Workflow Action List in an FA 3.0 workflow template. 2. Find the action to edit. 3. Click Actions > Edit. 4. Click in the Intent column. Workflow Templates in Compliance

55 5. Select the action you want to execute in the Execute Intent field on the Select Intent page. 6. Click Select. The page closes. 7. Click Actions > Save next to the action in the Workflow Action List. Delegate an Assignment Action A Workflow Delegation action is available for workflow templates in several modules. This action displays a dialog that enables users to delegate workflow assignments to other employees. If this function is enabled, the employee can, in the appropriate workflow step, select the Actions field for an assignment and select Workflow Delegation. The Workflow Delegation page displays, and an employee can be selected and tasked with the delegated assignment. This action is available in the following modules: Claims Audit Manager Claims Denial Manager Compliance Workspace Contracts Documents ERM Incidents Internal Audit Privacy Breach Management Third-Party Risk Management SOX Universal Assessments This action is available for the following workflow step types: Approval Collaboration Assignment Review Control Test Review Survey Review Risk Assessment Assignment Risk Assessment Review Control Test Assignment Control Test Approval Workflow Templates in Compliance

56 Enable the Workflow Delegation Action for Employees 1. Go to Maintenance > Employee Management > Employees. 2. Find the employee record in the list. 3. Click Actions > Edit. 4. Click the Module Access tab. 5. Scroll down the page to the Workflow section. 6. Mark the following options: Delegate Personal Assignments - allows the employee to delegate assignments that are assigned to his user account. For example, if an employee is out of the office, he might choose to delegate an assignment to a coworker. Delegate Any Assignment - allows the employee to delegate any workflow assignment in the Compliance 360 application. For example, an employee with administrator duties might choose to delegate a team member's assignment to another employee. 7. Click Save and Return. Resend Messages Workflow Template Action The Resend Message action can be used to resend a message to some or all employees that originally received a message from a workflow step. This action is available on Approval, Collaboration, Review, or Assignment message steps in a workflow template. When this action is selected, a Resend dialog is displayed. This action only resends the message to individuals who initially received it. If another user is added to a group after the original message is sent, the message is only sent to the individuals who received the message originally. The action is not displayed in the Action field if the Message to send is blank or if there are no Employees currently assigned to the Workflow Step. 1. Verify the message is displayed in the read-only Message to Send field. 2. Edit the information in the Message Subject field as necessary. 3. Edit the information in the Additional Information field as necessary. The information entered in this field is included in the message to the recipient. 4. In the Assignees List, select one or more individuals who should receive the message. The Assignees List displays the list of people assigned in to receive the message in this step. You can resend the message to some or all of these users. Workflow Templates in Compliance

57 Close Claim Action for Workflow Templates - CAM The purpose of the Close Claim action is to facilitate the closing of claims via a workflow process. When used, the Claim Close Info page opens, the close information is provided, and when saved, the claim is changed to the Closed status. The Close Claim action appears in the Actions field for claims. Additionally, it appears as a button on the Claim page. This is a preconfigured action, which means the only thing you have to do is create the workflow action using the procedure that follows. 1. Create a Claims Audit Manager workflow template. 2. Add the necessary workflow steps. 3. Find the step in the Workflow Step list where you want to set up the Close action. 4. Click Actions > Edit. 5. Click the Actions tab In the Workflow Step Wizard. 6. Click New in the Workflow Actions List. At the bottom of the section, a new line item appears. 7. Enter Close Claim in the Name column. 8. Enter a description for the action in the Description column. 9. Click to select a different icon for the action in the Icon column. This icon represents the action. Notes: Best practice is not to change the icon. You should be consistent with the use of icons so the user is not confused with the intent of the action from module to module and workflow to workflow. Attachment and Comment icons cannot be changed. 10. Select the permission level required to perform the action in the Required Permissions column. This is the minimum required permission level to see the button in the Actions column. The available options are based on the action you are editing. 11. Check the Active check box to activate the action. Clear this box to remove the action from use. For example, an organization may decide nobody can delete the object when it is in the Locked status. To do this, clear the Active? check box for the Delete button when editing the Locked step. 12. Click in the Intent/Page Oper. column to customize an action. 13. Select Execute Page on the Select or Operation page. 14. Select the Close Claim in the Execute drop-down list. 15. Click Close. Your changes are saved, and the page closes. 16. Click Actions > Save to save the Close Claim action you just created. Workflow Templates in Compliance

58 17. Click Finish to save the workflow step and return to the Workflow Template page. 18. Click Save and Return. Close Claim Action for Workflow Templates - CDM The purpose of the close claim action is to facilitate the closing of claims via a workflow process. This is a preconfigured action, which means the only thing you have to do is create the workflow action. 1. Create a Claims Denial Manager workflow templates. 2. Add the necessary workflow steps. 3. Find the step in the Workflow Step list where you want to set up the Close action. 4. Click Actions > Edit. 5. Click the Actions tab In the Workflow Step Wizard. 6. Click New in the Workflow Actions List. At the bottom of the section, a new line item appears. 7. Enter Close Claim in the Name column. 8. Enter a description for the action in the Description column. 9. Click to select a different icon for the action in the Icon column. This icon represents the action. Notes: Best practice is not to change the icon. You should be consistent with the use of icons so the user is not confused with the intent of the action from module to module and workflow to workflow. Attachment and Comment icons cannot be changed. 10. Select the permission level required to perform the action in the Required Permissions column. This is the minimum required permission level to see the button in the Actions column. The available options are based on the action you are editing. 11. Check the Active check box to activate the action. Clear this box to remove the action from use. For example, an organization may decide nobody can delete the object when it is in the Locked status. To do this, clear the Active? check box for the Delete button when editing the Locked step. 12. Click in the Intent/Page Oper. column to customize an action. 13. Select Execute Page on the Select Page or Operation Page. 14. Select the Close Claim in the Execute drop-down list. 15. Click Close. Your changes are saved, and the page closes. 16. Click Actions > Save to save the Close Claim action you just created. Workflow Templates in Compliance

59 17. Click Finish to save the workflow step and return to the Workflow Template page. 18. Click Save and Return. This option now appears in the Actions drop-down list for claims. Additionally, it appears as a button on the Claim page. When this action is selected or the button is clicked, the Claim Close Info page opens. Enter the close information and then click Save and Return. The claim is changed to the Closed status. Create Appeal Action - CAM The purpose of the Create Appeal action is to facilitate the creation of appeals via a workflow process. This is a preconfigured action, which means the only thing you have to do is create the workflow action. 1. Go to Risk & Audit > Claims Audit Manager > Maintenance > Workflow Template. 2. Select Claim in the Type field. 3. Create a Claims workflow template and add workflow steps. 4. Find the step in the Workflow Step list where you want to set up the Close action. 5. Click Actions > Edit. 6. Click the Actions tab. 7. Click New in the Workflow Action List section. At the bottom of the section, a new line item appears. 8. Enter the name of the action in the Name column. 9. Enter a description in the Description column. 10. Click in the Icon column to select a different icon for the action. This icon represents the action. Notes: We recommend that you do not change the icon. You should be consistent with the use of icons so you do not confuse the user with the intent of the action from module to module, workflow to workflow. Attachment and Comment icons cannot be changed. 11. Select an option in the Required Permissions column. This is the minimum required permission to even see the button in the Actions column. The available options are based on the action you are editing. You should specify Change or Admin access. 12. Check the Active check box to activate the action. Clear this box to remove the action from use. For example, an organization may decide that when an object is in the Locked status, no one can delete it. To do this, you clear the Active? check box for the Delete button when editing the Locked step. 13. Click in the Intent/Page/Oper. column to specify what the action should do when triggered. 14. Scroll down to the bottom of the Select or Operation page. Workflow Templates in Compliance

60 15. Select Create Appeal in the Execute field of the Select or Operation page. This is the only field on the page you need to fill out. 16. Click Select. You are returned to the Workflow Action List. 17. Click Actions > Save. This saves the workflow step. If you do not do this, your changes will be lost. 18. Click Finish. This option now appears in the Actions field for claims. Additionally, it appears as an action on the Claim page. When the action is clicked, the Modify Appeal page opens. Enter the pertinent information, and then click Save and Return. You are taken back to the claim. Create Appeal Action - CDM The purpose of the Create Appeal Action is to facilitate the creation of appeals via a workflow process. This is a preconfigured action, which means the only thing you have to do is create the workflow action. 1. Go to Risk & Audit > Claims Denial Manager > Maintenance > Workflow Template. 2. Select Claim in the Type field. 3. Create a Claims workflow template and add workflow steps. 4. Find the step in the Workflow Step list where you want to set up the Close action. 5. Click Actions > Edit. 6. Click the Actions tab. 7. Click New in the Workflow Action List section. At the bottom of the section, a new line item appears. 8. Enter the name of the action in the Name column. 9. Enter a description in the Description column. 10. Click in the Icon column to select a different icon for the action. This icon represents the action. Notes: We recommend that you do not change the icon. You should be consistent with the use of icons so you do not confuse the user with the intent of the action from module to module, workflow to workflow. Attachment and Comment icons cannot be changed. 11. Select an option in the Required Permissions column. This is the minimum required permission to even see the button in the Actions column. The available options are based on the action you are editing. You should specify Change or Admin access. Workflow Templates in Compliance

61 12. Check the Active check box to activate the action. Clear this box to remove the action from use. For example, an organization may decide that when an object is in the Locked status, no one can delete it. To do this, you clear the Active? check box for the Delete button when editing the Locked step. 13. Click in the Intent/Page/Oper. column to specify what the action should do when triggered. 14. Scroll down to the bottom of the Select or Operation page. 15. Select Create Appeal in the Execute field of the Select or Operation page. This is the only field on the page you need to fill out. 16. Click Select. You are returned to the Workflow Action List. 17. Click Actions > Save. This saves the workflow step. If you do not do this, your changes will be lost. 18. Click Finish. This option now appears in the Actions field for claims. Additionally, it appears as an action on the Claim page. When the action is clicked, the Modify Appeal page opens. Enter the pertinent information, and then click Save and Return. You are taken back to the claim. EHR Actions for Workflow Templates Workflow templates enable you to establish the communication actions and rules for the integration between the Claims Audit Manager and EHR. When adding workflow steps, enable the EHR actions to allow users to interact with EHR. The selected actions are available in the Claims List. All of the available actions do not have to be used. Three actions are provided to send results letters to EHR if the results are sent to the client rather then EHR. The following actions are available: Assign to EHR: Transmits a file to EHR. The file includes claim information and applicable attachments to request them to perform a claim appeal. This action should be used before sending appeal information to EHR. Send EHR Level 1 Result: Sends the Level 1 results to EHR. The Financial Investigator receives the results and informs the customer. The action transmits the letter file to EHR. Send EHR Level 2 Result: Sends the Level 2 results to EHR. The Qualified Independent Contractor receives the results and informs the customer. This action transmits the letter file to EHR. Send EHR Continue Appeal Approval: Sends the Administrative Law Judge (ALJ) approval to EHR. The ALJ receives the results and informs the customer. This action transmits the letter file to EHR. Close Claim with EHR: Closes the claim with EHR. Transmits a file to EHR to close the appeal process. This action can be used after any of the other EHR actions. Workflow Templates in Compliance

62 Send Images: Sends all of the attachments associated with the claim. This action can be used after the Assign To EHR action. When used, an image select window is displayed, enabling you to select the images to be transmitted. When you enable an action, you can change the Destination step if necessary. Workflow Templates in Compliance

63 Workflow Rules You can add workflow rules to workflow steps to augment workflow processing. For example: Navigation rules, such as the [X] Days Navigation rule, enable you to set up automatic transitions between steps. Notification rules, such as the Approval Reminder Notification rule, enable you to notify employees to perform work for a workflow step. Field value rules, such as the Set Date rule, enable you to automatically populate fields with certain values based on specific criteria. The rules that are available for a workflow step depend on the module, the object type, the workflow step, and best practices. The following topics provide information on workflow rules. Add or Edit a Workflow Rule 1. Go to the Workflow Templates list for the workflow template that includes the workflow step with the rule that you want to delete, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will the object. You must click Yes to proceed. The Modify Workflow Template page opens. 2. In the Workflow Steps list, find the workflow step for which you want to add or edit a rule, and click Actions > Edit next to the workflow step. 3. Click the Rules tab. 4. To add one or more rules to the workflow step, perform the following steps: a. In the Workflow Step Rules list, click Add Rule. The Catalog Rule Select page opens. b. Click Select next to the rules that you want to add. c. Click Close. 5. Configure or edit each rule: a. In the Workflow Step Rules list, click Actions > Edit next to the rule. The Modify Step Rule page opens. b. Enter information in the fields for the rule. The fields that are available depend on the type of rule. Note: It is important to remember that if a rule is set to execute at the start of a step, then the information associated with the object when the step starts is the information used by the rule. If Workflow Templates in Compliance

64 you clear or edit the information a field used after the step has started, it does not change how the rule is executed because that information has already been set for the rule. c. Click Save and Return. 6. Review the order of the rules in the Workflow Step Rules list, and change the order if necessary by either dragging and dropping the rules in the list or by clicking Actions > Move Up or Actions > Move Down next to each rule. In general, the order that rules appear in the list determines the order in which the rules are executed during that workflow step. See When Workflow Rules Execute for more information and exceptions. 7. Click Save and Return. 8. Click Finish on the Rules tab. When Workflow Rules Execute In general, the order that rules appear in the Workflow Step Rules list on the Rules tab for a workflow step determines the order in which the rules are executed during that workflow step. Consider an example workflow step where the first rule moves the object to a different workflow step when the step starts. The second rule moves the object to a different folder when the step starts based on a specific field value. As a result, the second rule never executes because the object has already moved to a different workflow step based on the first rule. However, some rules include a field that enables you to specifically select when the rule executes. For most rules, the field is named the Execute Event field, and you can select whether the rule executes when one of the following events occurs: Step Start When the step starts. Step Stop When the step stops. A step is stopped when a user performs an action that moves the object forward in the workflow. For example, the Approval step for an object is stopped if a user selects an action that manually moves the object to a different step without all workflow team members approving or rejecting the object. Step Complete When an Approval or Collaboration workflow step completes in its entirety. For example, if the approval team for an Approval step includes three users and all three users approve the object, then the Approval step is complete. Keep in mind that rules with the Execute Event field execute when the specified event occurs regardless of where they appear in the Workflow Step Rules list. For example, if the General Notification rule is the sixth rule in the Workflow Step Rules list but the rule is configured to execute when the step starts, then the notification is sent when the object moves to the workflow step, which means that the rule executes before other rules that appear earlier in the list but do not include the Execute Event field. In addition, it is important to remember that if a rule is set to execute at the start of a step, then the information for the object when the step starts is the information that is used by the rule. If you clear or edit the information Workflow Templates in Compliance

65 in a field after the step has starts, it does not change how the rule is executed because that information has already been set for the rule. Copy a Workflow Rule To save time when configuring workflow templates, you can create a copy of a workflow rule in either the same step, a different step in the same workflow template, or a step in a different workflow template. The source and target steps must be the same type of step, and the source and target workflow templates must be in the same module. For example, you cannot copy a rule from an Approval step on an audit workflow template in the Internal Audit module to a Collaboration step on a contract workflow template in the Third Party Risk Management module. 1. Go to the Workflow Templates list for the workflow template that includes the workflow step with the rule that you want to copy, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will affect the object. You must click Yes to proceed. The Modify Workflow Template page opens. 2. In the Workflow Steps list, find the workflow step that includes the rule that you want to copy, and click Actions > Edit next to the workflow step. 3. Click the Rules tab. 4. In the Workflow Step Rules list, find the rule and click Actions > Copy. The Copy Workflow Rule page opens. 5. In the Target Workflow Template field, enter the name of the workflow template that you want to copy the rule to, or click to select a workflow template. 6. Click Finish. Delete a Workflow Rule 1. Go to the Workflow Templates list for the workflow template that includes the workflow step with the rule that you want to delete, and click Actions > Edit next to the workflow template. If the workflow template is currently assigned to an object, then a confirmation message appears to warn you that any changes to the workflow template will affect the object. You must click Yes to proceed. The Modify Workflow Template page opens. 2. In the Workflow Steps list, find the workflow step that includes the rule that you want to delete, and click Actions > Edit next to the workflow step. Workflow Templates in Compliance

66 3. Click the Rules tab. 4. In the Workflow Step Rules list, find the rule and click Actions > Delete. A confirmation message appears. 5. Click Yes. Available Workflow Rules The following table lists the workflow rules that you can add to a workflow step in a workflow template. The rules that are available for a workflow step depend on the module, the object type, the workflow step, and best practices. Rule [X] Days Navigation [X] Days Notification Acceptance Reminder Notification Approval Reminder Notification Archive Screening Assessment Navigation Assessment Score Navigation Assessment Score Notification Assignee Status Notification Assignment Navigation Automatically Generate Revision Description Goes to the specified workflow step [X] days after the workflow step begins. Sends the configured notification message [X] days after the workflow step begins. Sends the configured notification message to assignees who have not responded within [X] days of being asked to accept the task. Sends the configured notification message to approval team members who have not responded within [X] days of being asked to approve the object. Sets the risk screening activity to the Archived status. Moves the assessment to a specific step. Goes to the specified workflow step when certain score events occur. Sends the configured notification message when certain score events occur. Sends a message to the designated party with a list of assignees who have not completed their assignments by a specified date. Moves child assignments to a specific step. Automatically generates a new, unpublished revision of an object based on the indicated timeframe and navigates to a specified step in the workflow. You are not allowed to navigate to the same step where this rule is executed to prevent a looping of your workflow. Workflow Templates in Compliance

67 Rule Calculate Date Description Sets a date for an object based on an interval, a multiplier for that interval, and a field containing a date. It sets the value of a selected date field based on the date of another date field incremented by the specified interval, optionally multiplied by a whole number. This rule keeps you from manually having to calculate the date you need to set. Note: It is similar to the Set Date rule, but allows you to use intervals of time rather than a specific number of days. It is also similar to the Calculate Interval End Date rule, but provides more options for the interval. Calculate Interval End Date Sets an end date, end of period, expiration date, etc, for an object. It sets the value of a selected date field based on the date of another selected date field incremented by the selected interval (annually, monthly, quarterly). This rule keeps you from manually having to calculate the date you need to set. For example, you could configure the rule as follows for a workflow template used for a gift limit that is applied annually: Set value of End Date to occur Annually after Start Date when Step Starts occurs. Note: It is similar to the Set Date rule, but allows you to use intervals of time rather than a specific number of days. It is also similar to the Calculate Date rule which provides more options for configuring the interval. Change Security Owner Change Workflow Template Changes the security owner. Changes the workflow template of an object. You can choose: The workflow to set as the new workflow template when the rule executes. The default step the object should be placed in as part of the new workflow. Workflow Templates in Compliance

68 Rule Child Object Navigation Description Moves child objects to a step in the workflow using a specified step type and step status. This rule is available in Incident workflow templates in the Incidents module. Note: If you have set up workflow rules in a child object to edit the parent object, then the child object list and the parent object cannot be on the same page. The parent object page may not refresh automatically and the workflow rules may not execute. For example, a user moves the Investigation list to the bottom of the Modify Incident page, and also has a workflow investigation rule that will edit the incident. This will not work since the child object list and the parent object are on the same page. You should put the child object list on another tab of the parent object page. Close/Open Audit Closed Claim Navigation Close Claim Close Gaps After All Tasks Closed Close Item Close Tasks Collaboration Reminder Notification Allows users to close or open an audit in a workflow step. Navigates to the specified workflow step when all of the child claims are closed. Allows users to close a claim in a workflow step. Closes gaps when all of the tasks on an assessment are closed. Closes the workflow item and sets the close date to the current date. Closes all of the tasks when the specified event occurs. Sends the configured notification message to collaboration team members who have not completed their work within [X] days of being asked to collaborate on the object. Workflow Templates in Compliance

69 Rule Compare Values Then Start Workflow Step Description Determines the value to be used and the workflow step that will follow. You must configure the following values: The field that stores the main value. The comparison operator. The field that you want to compare the main value to. The destination step in the workflow. An example using the Gifts module would be, if Gift Value is less than Giving Limit send the submission to the Approval workflow step. It is available to the following modules and components: Conflicts of Interest - Conflicts of Interest, Personal Conflict, Company Conflict Enterprise Risk Manager - Risks, Controls, Processes, Objectives, Risk Areas, Process Groups, KRIs Gifts and Hospitality Manager - Gifts, Gift Limits Incidents - Incident, Investigation. Status, Evidence Documents Policy Manager - Policy Privacy Breaches - Privacy Breach Content Assessment Reminder Content Assessment Score Navigation Content Assessment Score Notification Content Event Notification Content Item Subscriber Close Control Test Reminder Control Test Score Navigation Control Test Score Notification Sends a message to the employee taking or reviewing the assessment after the time period has elapsed. Goes to the specified workflow step when certain content score events occur. Sends the configured notification message when certain content score events occur. Sends the configured notification message when the specified event occurs. Triggers when a subscriber is closed to close the publisher. Sends a message to the employee taking or reviewing the control test after the time period has elapsed. Goes to the specified workflow step when certain test score events occur. Sends the configured notification message when certain control test score events occur. Workflow Templates in Compliance

70 Rule Copy/Move Create Appeal Create Object Create Smart Merge Document Attachment Date Navigation Date Notification Delete Latest Appeal EHR Assessment Reminder EHR Error Navigation EHR Error Notification EHR From Navigation EHR From Notification EHR Send Transmission Appeal EHR Transmission Appeal ERM Assessment Score Navigation ERM Assessment Score Notification esmd Shipment Navigation Description Copies or moves the object to the specified folder. Creates a new appeal for the claim. Creates a new object based on an existing template. Currently available only for the Complete step of an Assessment Assignment. Attaches a standard document to an audit or claim automatically as part of a workflow step.for additional information about this rule, see the topic about this rule in the Claims Audit Manager Help on configuring and maintaining Smart Merge. Goes to the specified workflow step [X] days before or after the workflow step begins. Sends the configured notification message [X] days before or after the workflow step begins. Deletes the latest appeal associated with the claim. Sends a message to the employee taking or reviewing the assessment after the time period has elapsed. Goes to the specified workflow step when an EHR error occurs. Sends the configured notification message to the approval team members when an EHR error occurs. Goes to the specified workflow step after [X] transmission from EHR is received. Notifies responsible parties after [X] transmission from EHR is received. Allows EHR transmissions to be sent by workflow events. Creates an appeal after [X] transmission from EHR is received. Goes to the specified workflow step when certain ERM score events occur. Sends the configured notification message when certain ERM score events occur. Goes to the specified step after an electronic shipment transmission response is received. See the topic about the workflow template in the Electronic Shipments section of Claims Audit Manager > Claims. Available in Claims Audit Manager for an Electronic Shipment and also for a Claim. Workflow Templates in Compliance

71 Rule esmd Shipment Notification General Notification Gift Limit Threshold Alert Description Notifies selected team members after an electronic shipment transmission response is received. See the topic about the workflow template in the Electronic Shipments section of Claims Audit Manager > Claims. Allows users to use custom notifications around workflow steps. This workflow step rule notifies the rule team members when a submitted gift crosses a percentage threshold of a gift limit. Available only for workflow templates used by the enhanced version of the Gifts and Hospitality Manager module. Gift Routing and Navigation Navigate to the specified workflow step [X] upon determination of an applied gift limit. You can set the workflow step to be used if the gift limit was applied successfully (the Approved step) and the step to be used if the gift limit application failed (the Declined step). Available only for workflow templates used by the enhanced version of the Gifts and Hospitality Manager module. Giving/Receiving Limit Use Max/Min Value Determines which dollar limit to use if a user belongs to multiple profiles with different limits per profile. First select whether this rule describes the Giving Limit or the Receiving Limit. Then select whether the application uses the minimum or maximum value of the limits if the user is assigned multiple limits from being included in multiple profiles with different limits. An example using the Gifts and Hospitality module would be when the gift type is Giving, use the maximum limit for the user (amongst all the limits they have been assigned via multiple profiles). Used only in the workflow templates associated with the Gift Request - Legacy page. It is not used by the enhanced Gifts and Hospitality Manager workflow templates to process gift limits for employee profiles. Workflow Templates in Compliance

72 Rule Include/Remove Gift in Gift Limit Balance Calculation Description Upon a specified execution event, evaluates the gift that is to be included in the balance calculations and sets a flag indicating if the gift is to be included in the balance or not. Depending on if the gift is above or below the limit amount, the information is used by the Gift Routing and Navigation rule to navigate to the appropriate workflow step. It can also be used on workflow steps (such as Withdraw Request) so that the flag can be flipped from Yes to No when the rule is configured so that the gift amount is removed from the gift limit balance. Keep in mind that if a gift limit is aggregated by transactions, instead of a timeperiod, then those gifts will not use this flag since there is no aggregation of balances that need to add or remove gifts. The flag is automatically set to Yes as each gift is its own balance per transaction. Available only for workflow templates used by the enhanced version of the Gifts and Hospitality Manager module. Logged In User Same as Resp Party Navigation Lookup Value Move Rule Lookup Value Navigation Rule Move and Start Workflow Rule Goes to the specified workflow step when the logged in user is the same as the task's responsible party. Moves the object to the specified folder and workflow when a lookup is a specific value. Goes to the specified workflow step when a lookup is a specific value. Moves an object from a division and folder to another division and folder based on values found in the Destination Division Field, Lookup Field, and the mapping in the Lookup Text table and starts the appropriate workflow found on the destination folder. This rule is available for General Modification steps in the Incidents module. Navigate Single Remit and Import Remits Numeric Value Navigation Rule Object Security Checks for a single remit and moves it to the destination step of the default Remit workflow template. The remaining remits associated with the claim are then queried and imported. Goes to the specified workflow step when a numeric value meets a comparison criteria. Allows users to edit the object's security permissions. Workflow Templates in Compliance

73 Rule Parent Object Navigation Description Moves a parent object to a workflow step using a specified step type and step status. This rule is available in the Investigation and Status workflow templates in the Incidents module. Note: If you have set up workflow rules in a child object to edit the parent object, then the child object list and the parent object cannot be on the same page. The parent object page may not refresh automatically and the workflow rules may not execute. For example, a user moves the Investigation list to the bottom of the Modify Incident page, and also has a workflow investigation rule that will edit the incident. This will not work since the child object list and the parent object are on the same page. You should put the child object list on another tab of the parent object page. Publish Revision Allows users to publish a revision within workflow steps. The following options are available: Close Tasks - Any open tasks are closed. Update Publish Date if Already Set - Updates the Publish Date field with the current date. Reopen Item Revision Update Gift Limit Balance Reopens the workflow item, clears the closed flag, and clears the close date. Identifies gifts with a Submit date falling within a gift limit's Start and End dates and associates them with this limit and update the appropriate gift limit balance. The status of the gifts are not changed. Available only for workflow templates used by the enhanced version of the Gifts and Hospitality Manager module. Risk Assessment Reminder Risk Exposure Navigation Risk Exposure Notification Risk Score Navigation Risk Score Notification Score Navigation Score Notification Sends a message to the employee taking or reviewing the risk assessment after a time period has elapsed. Goes to the specified workflow step when certain risk exposure events occur. Sends notification messages when certain risk exposure events occur. Goes to the specified workflow step when certain risk score events occur. Sends the configured notification message when certain risk score events occur. Goes to the specified workflow step when the specified score event occurs. Sends the configured notification message when the specified score event occurs. Workflow Templates in Compliance

74 Rule Schedule Revision Date Navigation Schedule Revision Date Notification Search Result Import Search Status Navigation Search Status Notification Send to CCI Set Audit Date Set Claim Date Set Date Description Goes to the specified workflow step [X] days [Before or After] the object's scheduled revision date. Sends the configured notification message [X] days [Before or After] the object's scheduled revision date. Imports the search result. Goes to the specified workflow step based on the search status. Sends the configured notification message based on the search status. Sends an outgoing incident transmission to a configured hotline vendor. Allows users to set audit dates around workflow steps. Allows users to set claim dates around workflow steps. Allows users to set dates around workflow steps. If this rule is set to execute at the start of a step, the information in the associated date field used to trigger the rule when the step starts is the date used. If you clear or edit the information in that date field after the step has started, it does not change how the rule will be triggered because that date has already been set for the rule. If you do not want the rules to trigger, you can do one of the following: Before the object reaches the step on which the rule is set (such as a step that publishes the object), you can clear or edit the date field that triggers the rule. You can move the object to the next step and then move it back to restart the step. You can restart the step on which the rule is set. Set Lookup Value Set Value Single Reference Navigation Rule Start Assessment Status Update Request Sets the configured lookup field with a target value. For example, if the value between the two tables is a textual match, the value can be copied from the claim to an activated remit and vice versa. Allows users to set values from a source component to a destination component. Allows you to move an object to a specific step in the workflow when a value in a Single Reference type field, such as Primary Responsible Party, meets the criteria specified in the workflow rule. Starts a content assessment when the specified event occurs. Sends a message to allow Incident Status Updates to be created. Workflow Templates in Compliance

75 Rule Survey Reminder Task Closed Navigation Task List Template Apply Task Status Update Request Unpublish Revision Description Sends a message to the employee taking or reviewing the survey after the time period has elapsed. Goes to the specified workflow step when the specified task event occurs. Creates tasks from the content folder's task list template when the specified event occurs. Sends the assignees a message to requesting that they update the task's status. Allows a user to unpublish a revision with workflow steps. The following options are available: Clear Publish Date - Removes the date the current object was published. Don't Republish Previous Revision o o If blank, republishes the previous revision so that a version of the object is always available when searching published objects. If selected, keeps all other revisions unpublished and none will be republished. Select this option when the object should not be available when searching published objects. Assessment Navigation Rule The Assessment and Assessment Assignment workflow templates are available for assessments to monitor and control the flow of information, assignments, tasks and more for assessments. Since both assessments and assessment assignments contain workflow, workflow step rules help keep assessments and assessment assignments synchronized. Assessment Workflow Template The Assessment workflow template includes the following workflow steps: Planning (General Modification), Assignment, Review, and Completion. This is considered the parent workflow template because it controls the overall process of the assessment. Assessment Assignment Workflow Template The Assessment Assignment workflow template enables you to control the users who are assigned to complete the assessment. This workflow template includes the following workflow steps: Planning (General Modification), Assignment, Approval (similar to Review), and Complete. This is considered the child workflow because as it controls only one process of the assessment the assignment element. How the Assessment Navigation Rule Works with the Workflow Templates The Assessment Navigation rule is in the Assignment step of the Assessment workflow template. The rule moves the child Assessment Assignment workflow template to a specific step. For example, when an assessment is scheduled, the Assessment workflow template begins and eventually advances to the Workflow Templates in Compliance

76 Assignment step. At this point, the Assessment Navigation rule can move the assignment to the Assessment Assignment workflow template and specify that if it should begin in the Planning, Assignment, Approve, or Complete step. Logically, it moves to the Assignment step. The Assessment Navigation rule is also in the Complete step of the Assessment Assignment workflow template. The rule moves the parent Assessment workflow template to a specific step. For example, when an assessment assignment is started, it moves through the workflow template and is eventually completed. At this point, the Assessment Navigation rule can move the completed information back to the Assessment workflow template and specify if it should be in the Planning, Assignment, Review, or Complete step. Typically, it moves to the Assignment step. Audit Navigation Rules In the Claims Audit Manager module, two workflow step rules are available for audit workflow templates. These rules enable you to automatically close or open audits based on specific criteria. Close/Open Audit Rule: In the Audit workflow template, this workflow step rule enables users to close or open an audit in a workflow step. This rule is typically used in General Modification Audit Complete step because you can automatically close the audit during this step. Alternatively, you can include the rule to set the audit to open in other steps in the workflow, enabling it to be automatically opened during a reopening process. Closed Claim Navigation Rule: In the Audit workflow template, this workflow step rule enables you to navigate to the specified workflow step when all of the child claims are closed. This rule is typically used in the General Modification In Process step because you can automatically move the audit to the Closed step when its child claims are closed. When used with the above Close/Open rule, you can navigate to the Closed step and automatically set the audit to Closed when its child claims are all complete. Edit the Audit Navigation Rule The Audit workflow template in the Claims Audit Manager has a navigation rule to automatically close or open audits based on specific criteria. You can use the Close Claim Navigation rule to close the claims associated with the audit. Close/Open Navigation Rule 1. Go to the Audit workflow template. 2. Edit the Close/Open rule. 3. Select a Set Audit To option. You can select Closed or Open. For example, when the audit is moved to the Closed step, use this rule to automatically set the Is Closed field to Yes. 4. Select an option from the Execute Event field. 5. Click Save and Return. Workflow Templates in Compliance

77 Close Claim Navigation Rule 1. Go to the Audit workflow template. 2. Edit the Closed Claim Navigation rule. 3. Select an option from the Step to Start field. For example, select Audit Complete. Use this rule while the audit is in process so that it is automatically moved to the Audit Complete step when all of its child claims are closed. 4. Click Save and Return. Automatically Generate Revision Rule The Automatically Generate Revision rule is used to automatically generates a new, unpublished revision of an object based on the indicated timeframe and navigates to a specified step in the workflow. You can configure the following parameters: Date Field for Revision - Select the date field that triggers a new revision, such as Review Date, Scheduled Review Date, End Date, etc, as shown in the example that follows for Policy Manager: If this rule is set to execute at the start of a step, the information in the associated date field used to trigger the rule when the step starts is the date used. If you clear or edit the information in that date field after the step has started, it does not change how the rule will be triggered because that date has already been set for the rule. If you do not want the rules to trigger, you can do one of the following: o o o Before the object reaches the step on which the rule is set (such as a step that publishes the object), you can clear or edit the date field that triggers the rule. You can move the object to the next step and then move it back to restart the step. You can restart the step on which the rule is set. Step to Start - Select the workflow step to send the object to when this rule is executed. You are not allowed to navigate to the same step where this rule is executed to prevent a looping of your workflow. Lead Days -If you want to trigger the revision before the date selected in the Date Field for Revision, enter the appropriate number of days, such as 30 days before the date a policy is to be reviewed. Date Field to Set - If needed, select the field to update with the date found originally in the Date Field for Workflow Templates in Compliance

78 Revision plus one day when the object is revised. When working with the object, review the date set in this field to confirm it is still appropriate. This parameter can be used together with the Calculate Interval End Date to update the Date Field for Revision so that it contains the appropriate beginning date for the new revision of the object and the object can continue to be revised based on the interval. For example, when revising an object that has an End Date of the last day of the year, the Calculate Interval End Date rule would set the new beginning date of that revision to be the first day of the next year. Then when the object is in the new Planning step, the new end date could be calculated from this start date. If you do not need a starting date set because it is set by another step in your workflow, such as the Set Date rule, do not complete this parameter on the rule. What if a revision is published after the next review period is supposed to start? When a review and publication of an object runs behind schedule, what does that do to the automatic revision process? For example, you have an object that is supposed to be reviewed on the 15th of every month. The revision process started on time on August 15th. Unfortunately, this month's revision did not get approved and published until September 16th, the day after the next revision cycle was to have been started. Workflow Templates in Compliance

79 Because the object wasn't published, the Automatically Generate Revision rule was not executed on September 15th. However, it is executed on September 16th as soon as the object is published, starting the next revision cycle a day late. If you want to continue to start the next revision cycle on the 15th of October, make sure that the date field used for revision is manually updated with the correct date. Related Topics Calculate Date Rule Calculate Interval End Date Rule Calculate Date Rule The Calculate Date rule can help you to update a date field based on an interval set on the workflow template or on the object, a multiplier for that interval, and a start date. The Calculate Date rule also can work with the Automatically Generate Revision rule to allow a revision date to be set automatically and to automatically create a revision of an object at a certain time and begin its workflow. Note: In a previous release ( ) the Calculate Interval End Date rule was added to work together with the Automatically Generate Revision rule to allow a revision date to be set automatically or to automatically create a revision of an object at a certain time and begin its workflow. It is also similar to the Set Date rule but allows you to use intervals of time rather than a specific number of days. This rule has additional parameters available to configure the time frame used to update the selected date field. The rule is available for FA2 and FA3 modules. Calculate Date Rule The Calculate Date rule is used to set a date for an object. It sets the value of a selected date field based on the date of another date field. It can be used on the default step of a workflow to automatically calculate this date field based on: a selected time interval set either on the workflow template or found in a custom interval field on the object o o o o o o o Daily Weekly Monthly Monthly End of the Month Quarterly Quarterly End of Month Annually a selected number of these intervals and another field on the object. This rule keeps you from manually having to calculate the date you need to set. Workflow Templates in Compliance

80 You can configure the following parameters: Date to Set - Since the intent of this rule is to set a date an object is no longer valid or should be revised, select a date field that records the appropriate end of period date. For example, a Scheduled Revision Date or an End Date. When working with the object, review the date set in this field to confirm it is still appropriate. If manually adding an object using the New button and this rule is on the initial step of the workflow, this date is not set until the object is saved for the first time. Interval Source - Select where the rule should find the interval information. The interval can be set on the workflow template or on the object itself. Depending on your selection, the appropriate field is displayed to be completed: o o Interval - Select the time frame to use to reset the date in the field indicated in Date to Set. Displayed when setting the interval for all objects from what is selected in this field on the workflow template. Interval Field to Use - Select the look-up type field made available on the Modify page for the object that contains the interval time frame. See more information about creating this field later in this topic. Interval Multiplier Source - Select where the rule should find the interval multiplier information. The interval multiplier can be set on the workflow template or on the object itself. Depending on your selection, the appropriate field is displayed to be completed: o o Interval Multiplier - Enter the whole number by which to multiple the time frame in the Interval field of the workflow template or on the object. The default value is 1, which does not increase the interval time frame. Zero (0) is not a valid value. Interval Multiplier Field to Use - Select the Whole Number type field made available on the Modify page for the object that contains the interval multiplier value to use to for the time frame in the Interval field of the workflow template or on the object. See more information about creating this field later in this topic. Date to Use - Select the appropriate date field to use as the starting date (such as Effective Date, Review Date, Last Review Date, etc.) to increment by the period selected in the field identified by the Interval Source and optionally multiplied by the whole number in the field identified by the Interval Multiplier Source. In some cases, it will be the same field that is being reset by this rule, such as an End Date. Caution: When manually adding an object using the New button and this rule is on the initial step of the workflow, you must complete the initial start date field on the object before saving the object. It will not be completed automatically. You can calculate the date this object will be available and published for the first time. Execute Event - Select the point in the workflow step that this rule should be invoked. Normally, this is at the start of the step. For example, you could configure the rule as follows on the Planning step of a workflow template used for a risk in Enterprise Risk Manager that is reviewed annually and the source of both the interval and the interval multiplier is the workflow. Workflow Templates in Compliance

81 The above example of this rule is using two different date fields on the Modify Risk page. Given that, the rule would read as follows: Set value of "Next Review Date" to occur every "1 year(s)" after "Last Review Date" when "Step Start" occurs. Now, the user reviewing the risk doesn't have to calculate and complete the Next Review Date, but let it be completed automatically when the object is revised. It is important to remember that the object field referenced in the Date to Set field on the rule must be entered manually in the following cases because the rule is normally set to execute when the steps starts: The first time a new object is created. There is no information in the object for the rule to use to calculate the date, so you must enter the start date initially. If the field selected for the Date to Use field is changed manually (such as Last Review Date, in the above example), the field selected for the Date to Set field (such as Next Review Date in the above example) would also have to be updated manually because the rule is set to execute when the Planning steps starts. Workflow Templates in Compliance

82 To Implement this Rule Decide What Date Fields to Use You need to examine the business need and decide what date for the object needs to be set by this rule and what date field to use as the starting date. These could be the same field, but often are different. If the object doesn't contain the appropriate date field, you need to create the appropriate date field and update the page used to create and edit the object in Forms Configuration to add the appropriate field or fields. In our example above and at the end of this topic, we want to have a Last Review Date field and a Next Review Date field so a user can see when the object was last looked at and when it will be looked at again. Decide Source for the Interval and the Interval Multiplier You need to decide if the workflow or the object will be the source for the interval and interval multiplier that is used to set another date field on the object. You do not have to use the same source for these pieces of information. You can choose to let the workflow be the source for the interval and the object for the interval multiplier, for example. Workflow Source Considerations If the source will be the workflow, then every object using this workflow will have the date field set using the information provided in the Interval and/or Interval Multiplier fields set on this page. If you decide you want all the objects to be reviewed annually, then you could select the appropriate option in the Interval field on the workflow template and leave the Interval Multiplier field set to 1. If you need different intervals and/or interval multipliers and you wanted that interval to be maintained by the workflow template, you could set up different workflows for each time frame. Objects could be stored in different folders based on the interval/interval multiplier and the appropriate workflow template assigned to that folder so that when an object is created, the correct template is used. The advantage of this option is that it separates the responsibility of the setting of the interval/interval multiplier from the user creating the object. The Modify Step Rule page shown previously in this topic is an example of setting both the interval and the interval multiplier on the workflow template. Object Source Considerations If the object is to be the source for either the interval or the interval multiplier, then the user creating the object must complete the appropriate fields. The advantages of this option are: One workflow could be used for the majority of the objects of a particular type. Provides immediate feedback when viewing an object as to the revision frequency, if the user is selecting both the interval and the interval multiplier. Can easily be changed the next time the object is revised. The disadvantages of this option are that there is no separation for the responsibility of setting the interval time frame from the user creating the object. In addition, this approach does require field(s) to be created and added to the appropriate Modify page if the object is the source for the following: Workflow Templates in Compliance

83 Interval - Look-up type component field for the interval with very specific Lookup Code values. Interval Multiplier - A Whole Number type component field. In our example at the end of this topic, we want the object to be the source for both these fields. Create or Edit Fields Needed Create any new component fields for the module and module type that will be needed by the Calculate Date rule. Create Appropriate Date Fields If you do not already have appropriate date fields on your object to use as the starting point for the calculation or to set, create the component field(s). In the example later in this topic, we created a Next Review Date field for an Enterprise Risk Manager risk. We already had a Last Review Date field on the object. Don't forget that the date used to base the interval on must be manually entered the first time an object is created. Create or Edit Interval Field, if Object is Source A Look-up type component field for the interval with very specific Lookup Code values be set up for the object. In the example later in this topic, we created a new Review Frequency Interval field. If you already have an existing field on the object that could be used to provide the interval, you must edit the lookup text and codes to contain only the following options. For example, Enterprise Risk Manager could update the default Review Frequency field provided by default on the various risk components. You do not have to include all these lookup selections, but those that you do must be set up with the lookup code provided below. Lookup Text (Suggested Text) Lookup Code (Enter code exactly as shown) Notes Daily DI_Daily Every day Weekly DI_Weekly Weekly on the same day Monthly DI_Monthly Monthly on the same date (for example on the 15th of every month) Monthly End of the Month DI_MonthlyEndOfMonth Monthly on the last day of the month (for example, February 28, February 29, as applicable) Quarterly DI_Quarterly Quarterly on the same date every third month (for example, January 15, April 15, July 15) Quarterly End of Month DI_QuarterlyEndOfMonth Quarterly on the last day of every third month (for example, January 31, April 30, July 31) Workflow Templates in Compliance

84 Lookup Text (Suggested Text) Lookup Code (Enter code exactly as shown) Notes Annually DI_Annually Annually on the same date (for example, March 15) Tip: If you want to calculate a semi-annual date using this rule, set up the Interval as Monthly or Monthly End of the Month and the Interval Multiplier as 6. You cannot add a Semi-Annually lookup option because the Calculate Date rule is set up to only use the options listed above. Here is an example for the Review Frequency Interval field we created: Workflow Templates in Compliance

85 Create Interval Multiplier Field, if Object is Source A Whole Number type component field must be created and added to the Modify page used to create and edit the object in Forms Configuration to add the appropriate look-up type field. Add Fields to Modify Page, if Object is Source You must update the Modify page used to create and edit the object in Forms Configuration to add the fields needed by the rule: Date fields Interval Lookup type field, if Object is the source Interval Multiplier Whole Number type field, if Object is the source Configure the Calculate Date Rule After all updates to the object's Modify page have been saved in Forms Configuration, add the Calculate Date rule to the appropriate step in your workflow and configure the parameters: Update the Date to Set and Date to Use fields in the rule with your decision. Update the Interval Source and Interval Multiplier fields on the workflow template with your decision. Depending on your choice, different fields are displayed to either set the value or select a field on the object as the source of the value Update the Execute Event for when you want the rule to execute. Normally, this would be at step start. Here is an example of the rule set up to use the Object as the source for both the interval and the interval multiplier: Workflow Templates in Compliance

86 To Automatically Revise an Object Many objects have a field that includes a date when the object should be next revised that is completed by the user and is used in workflow rules to send out notifications that a revision is due soon. However, you can use a combination of rules allow that revision date to be set automatically and to automatically create a revision of an object at a certain time and begin its workflow. To use rules to automate your revisions: Add the Calculate Date rule to the first step in the workflow that a new or revised object uses and configure its parameters. In many cases, this step is called Planning. Optionally, if you want to update automatically the date field that records when the object was published/last revised or to update, add the Set Date rule to the step in the workflow that makes the object available for use and configure its parameters to set the date field. In many cases, this step is a Publish or Approved step. Workflow Templates in Compliance

87 Add the Automatically Generate Revision rule to the step in the workflow that makes the object available for use and configure its parameters. In many cases, this step is a Publish or Approved step. If you want this rule to set a starting date for the object, you could complete the Date Field to Set parameter on this rule. If you do not need a starting date set because it is set by another step in your workflow, such as the Set Date rule, do not complete this parameter on the rule. For example, in Enterprise Risk Manager in the workflow template for a risk, that is the Risk Review Complete step: Calculate Interval End Date Rule The Calculate Interval End Date rule is available for FA2 and FA3 modules to set an end date, end of period, or expiration date for an object. It sets the value of a selected date field based on the date of another date field incremented by the specified interval. Workflow Templates in Compliance

88 It can be used on the default step of a workflow to automatically calculate the last day an object is effective based on a selected time interval (annually, monthly, quarterly) and a field with the object's initial start date. This rule keeps you from manually having to calculate the date you need to set. Note: The Calculate Interval End Date rule is similar to the Set Date rule, but allows you to use intervals of time rather than a specific number of days. It is also similar to the Calculate Date rule, but that rule has additional parameters available to configure the time frame used to set the selected date field. You can configure the following parameters: Date to Set - Since the intent of this rule is to set a date an object is no longer valid or should be revised, select a date field that records the appropriate end of period date. For example, a Scheduled Revision Date or an End Date. If manually adding an object using the New button and this rule is on the initial step of the workflow, this date is not set until the object is saved for the first time. When working with the object, review the date set in this field to confirm it is still appropriate. Interval - Select the time frame to use to reset the date in the field indicated in Date to Set. Date to Use - Select the appropriate date field to use as the starting date to increment by the period selected in the Interval field, such as Effective Date, Review Date, etc. In some cases, it will be the same field that is being reset by this rule, such as an End Date. Caution: When manually adding an object using the New button and this rule is on the initial step of the workflow, you must complete the initial start date field on the object before saving the object. It will not be completed automatically. You can calculate the date this object will be available and published for the first time. Execute Event - Select the point in the workflow step that this rule should be invoked. Workflow Templates in Compliance

89 For example, you could configure the rule as follows on the Planning step of a workflow template used for a policy in Policy Manager that is reviewed annually. The rule would read as follows: Set value of Scheduled Revision Date to occur Annually after Revision Date when Step Start occurs. Now, the user reviewing the policy doesn't have to calculate and complete the Scheduled Revision Date, but let it be completed automatically. If the field selected for the Date to Use field is changed manually (such as Revision Date, in the above example), the field selected for the Date to Set field (such as Scheduled Revision Date in the above example) would also have to be updated manually because the rule is set to execute when the Planning steps starts. To Automatically Revise an Object Many objects have a field that includes a date when the object should be next revised that is completed by the user and is used in workflow rules to send out notifications that a revision is due soon. However, you can use a combination of rules allow that revision date to be set automatically and to automatically create a revision of an object at a certain time and begin its workflow. To use rules to automate your revisions: Add the Calculate Interval End Date rule to the first step in the workflow that a new or revised object uses and configure its parameters. In many cases, this step is called Planning. Workflow Templates in Compliance

90 Optionally, if you want to update automatically the date field that records when the object was published/last revised or to update, add the Set Date rule to the step in the worfklow that makes the object available for use and configure its parameters to set the. In many cases, this step is a Publish or Approved step. Add the Automatically Generate Revision rule to the step in the worfklow that makes the object available for use and configure its parameters. In many cases, this step is a Publish or Approved step. If you want this rule to set a starting date for the object, you could complete the Date Field to Set parameter on this rule. Change Workflow Template Rule There are times when you want to change both the security and team that is working on an object as part of the workflow itself. For example, as you review an incident, you may decide that it is of a sensitive nature and needs to be handled by a different group with different security. Yes, this can be done by manually changing the workflow template associated with the object and assigning a new collaboration team and approvers to it. However, if this is something that happens regularly, the process is time-consuming. To help you be more efficient, you can use the Change Workflow Template rule available to all step types for FA2 and FA3 objects that use workflow. On the rule, you can choose: The workflow to set as the new workflow template when the rule executes. The default step the object should be placed in as part of the new workflow. To invoke the rule, you could add a new step to your default workflow template that uses the new rule at the start of the step. In our example, we might identify this step as Sensitive. Then, you would make a new action available in all the steps of default workflow template that goes to the new step you just created. In our example, a new Make Sensitive action would go to the Sensitive step in the default workflow. Workflow Templates in Compliance

91 The Sensitive step would assign a different workflow template to the object, allowing the Object Security rule to be used to define new workflow teams. Potentially, this rule could be on a Collaboration step that is the default step in the new workflow that the object would be sent to. Your new collaboration team could then immediately begin reviewing the object and moving it along its new workflow. Child Object Navigation Rule The Child Object Navigation workflow rule allows you to move a parent's child objects to a specific step in the child object's workflow. For instance, you may want to move an incident's child objects, such as investigations, status updates, or evidence documents to a specific step in the child object's workflow. You may want to automate a variety of processes, including but not limited to: Closing all of the investigations when an incident is closed. Closing status updates when an incident is closed. Closing an incident, even if all of the related investigations are not finished and their issues don't have outcomes. This means you must close all of the investigations before closing the incident. Moving investigations that are in a General Modification workflow step type with the Planning status to an Approval workflow step type with the Pending Approval status. Only moving the investigations in the General Modification workflow step type with the Planning status to the General Modification workflow step type with the Closed status. Moving all of the investigations that are not in the General Modification workflow step type with the Planning status to the General Modification workflow step type with the Closed status. In this scenario, all of the investigations in the Approval workflow step type with the Pending Approval status would be moved to the General Modification workflow step type with the Closed status. Only moving status updates in the General Modification workflow step type with the Planning status to the General Modification workflow step type with the Closed status. Moving evidence documents that are in a General Modification workflow step type with the Planning status to an Approval workflow step type with the Pending Approval status. This is only available for the evidence document's Child Object Navigation rule to be navigated from the incident. An evidence document Parent Object Navigation rule is not available to navigate an incident. Availability The Child Object Navigation workflow rule is available in all of the workflow step types (Approval, Collaboration, and General Modification) of the Incident workflow template in the Incidents module. Key Considerations Because the Child Object Navigation rule is highly customizable, a system administrator must have a clear understanding of the fields used to specify the criteria for the rule on the Modify Step Rule page. Additionally, the following points should be considered: Workflow Templates in Compliance

92 If the Child Object Navigation workflow rule cannot be applied to the first step in the Incident workflow template. If it is added to that step, unexpected results may occur. Child objects do not have to use the same workflow template. Therefore, you may have several investigations that use different workflow templates. The configuration of the Child Object Navigation workflow rule is based on the child workflow template's step types and statuses. The step type is the generic step (Approval, Collaboration, and General Modification) and not what you may have renamed it. Before you add the rule to parent workflow template, review the child template and make note of the step type you want to refer to along with its status value. You may use more than one Child Object Navigation workflow rule in a step. This is important if you want to close multiple investigations that may have different step type and status combinations. All you need to do is set up a rule for each combination. If both child object types (investigations and status updates) must be closed during the same step, you simply configure a Child Object Navigation workflow rule for each child object type. The ability of the child objects to be moved to a specific workflow step type may also be impacted by the step's entry conditions. If the object does not meet those conditions, it will not be moved into the step, regardless of how the Child Object Navigation rule was configured in the parent incident's workflow. There may be situations where a child object that meets the criteria defined in the Child Object Navigation rule will not be moved to the specified step because the object does not meet the entry conditions of the destination step. Refer to the Controlling Step Entry Criteria topic in the Basic Functionality section of Online Help to learn more. Modify Step Rule Once the rule is added to a workflow step, it must be opened for editing. The Modify Step Rule page is where you specify the rule's criteria. The following image shows the default values. Workflow Templates in Compliance

93 Rule Information Fields The fields in the table are broken into logical sections to help you understand how the rule may be configured. Name Description Basic information about the parent object and workflow rule. Workflow Templates in Compliance

94 Name Workflow Step Name Description Name of the workflow step. When the workflow step is created, this field defaults to the name of the workflow step type (General Modification, Collaboration, etc.). The field can be changed to reflect the step in your business process. In the image above, the workflow designer never changed the text in this field and accepted the default, which was the name of the workflow step type during the step configuration. Workflow Step Description Name Description Description of the workflow step. When the workflow step is created, this field defaults to the workflow step type description. The field can be updated to reflect the description of the step in your business process. Name of the workflow rule. Description of the workflow rule. Once you configure and save the rule, this text is updated to reflect the intention of the rule. This information is provided by the system automatically and cannot be changed. Define the conditions of the parent object for this rule to execute. When Event Is Defines when the rule triggers based on where the parent object is in the workflow step. The rule may execute when the step starts, step stops, or the step is completed. What type of child objects will be affected? For All Children Type Indicates which child object type (investigation or status update) the rule should execute on. This means if you select Investigation, the rule evaluates all of the investigations associated with the parent object. Where should the affected child objects be moved to? Execute Child Step Type With Status Defines which step event the child objects are moved to in the workflow step that is assigned below in the Child Step Type field. The event for the child objects can be set to step start, step stop, or step completed, depending on your needs. Identifies which workflow step type in the child object's workflow template the child object will be moved to. Enter the value you would like to appear as the status for the child objects that are moved. This can be anything you want it to be, and it does not have to match the status defined that is defined in the workflow. Workflow Templates in Compliance

95 Name Description Identify the criteria for moving specific the child objects. Notes: You CANNOT use both of the following sections together. You must use the That Are In section or That Are Not In section; otherwise, unintended results may occur. Configure one section or the other but not both. If these sections are left blank, ALL of the child objects are moved, regardless of their workflow step type and status combinations. That Are In Use this section to set up the criteria for the rule to move child objects that are in a specific workflow step type with a specific status. Only the child objects that meet these criteria will be moved. That Are In With Status Identify the workflow step type the child objects must be in when they are moved. Enter the status of the child object. This status MUST match the text that is configured in the child workflow template. For instance, if the text in the child workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign the rule does not recognize the status in the criteria as matching the status of the child object. Therefore, the child object is not moved. If this field is left blank, only child objects that are in all of the workflow step types that are specified in That Are In field are moved. That Are Not In Use this section to set up the criteria for a rule to move all of the child objects that are not in a specific workflow step type with a specific status. That Are Not In With Status Identify the workflow step type the child objects must NOT be in for them to be moved. Enter the status of the child object. This status MUST match the text that is configured in the child workflow template. For instance, if the text in the child workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign the rule does not recognize the status in the criteria as matching the status of the child object. Therefore, the child object is not moved. If this field is left blank, all of the child objects in the workflow step types that are specified in the That Are Not In field are moved. Workflow Templates in Compliance

96 High-Level Sample Configuration The purpose of this section is to give you a general idea of how the Child Object Navigation workflow rule is used to close all of the investigations when the parent incident is closed, regardless of where the investigations are in the investigation workflows process. Setup To show you how this is done, we have to assume that: A very basic Incident workflow template with a minimum of two General Modification step types exist. The name of the steps and status were changed from their default values (workflow step type and statuses). The new step names are Planning and Closed, which contains the Closed status. An Investigation workflow template exists with a very basic workflow that includes Planning, Investigation in Process, Pending Approval, and Closed statuses. Each status is associated with a specific workflow step type. None of these steps have entry conditions. In this example, the workflow names were not changed and retained the name of the workflow step type. Configuration Given the previous setup, do the following to configure the workflow example: 1. Add the Child Object Navigation workflow rule to the Closed step of the Incident workflow template. 2. Open the rule for editing. 3. On the Modify Step Rule page, enter the following values and save the page: When Event is: Step Start For All Children Type: Investigation Execute: Step Start Workflow Templates in Compliance

97 Child Step Type: General Modification With Status: Closed When the parent incident moves to the Closed step in the workflow, this rule triggers. The system moves all of the investigations associated with this incident to the General Modification step in the investigation workflow that has the status of Closed. Localization For organizations that have implemented the Localization module, the comparison criteria used in the rule's configuration is handled in the organization's default base language. Workflow Templates in Compliance

98 Collaboration Reminder Notification Rule The Collaboration Reminder Notification rule sends the configured reminder message to collaboration team members who have not completed their work within [X] days of being asked to collaborate on the object. The rule uses the Collaboration Order setting on the Collaboration Team to specify how notifications should be handled. If the Collaboration Order is set to: All at Once: All of the collaboration team members who have not yet responded are sent reminder messages when the rule executes. One at a Time: The current collaboration team member in the current step is sent a message when the rule executes. With this option, there is a possibility that not all collaboration team members will actually ever get notified, depending on how long it takes members to respond. For example, assume you have a Collaboration Reminder Notification rule configured to execute 5, 10, 15, and 30 days after the initial reminder notification is sent, and there are three collaboration team members. On day 1, the first collaboration team member, John, is notified. However, John does nothing. The rule executes again on days 5 and again on day 10 to remind John to collaborate. On day 11, John does his part. This kicks off the notification for Steve, the second team member. Steve is busy with other things and does not do his part in the collaboration. Notifications are sent to Steven again on days 15 and 30. On day 60, Steve finally collaborates. This prompts the rule to execute again and a notification is sent to Stacy, the third team member. After Stacy receives the initial notification, she does nothing. No reminders will be sent because we are now beyond the 30 days from the start of the step. Copy/Move Rule The Copy/Move workflow rule enables you to automatically copy or move an object as part of a General Modification, Collaboration, or Approval workflow step. The Copy/Move workflow rule functions the same as the manual copy/move process that is available in the Actions list for an object: Objects that are copied or moved retain the same security as the original object and can be edited as necessary. You cannot copy or move an object from one module to another. You can copy an object to the same folder or a different folder than the original object. If you copy an object to a different folder, then the name of the copied object is the same as the original object. However, if you copy an object to the same folder as the original object, then the words Copy Of are appended to the beginning of the name of the copied object. When you copy an object, you can choose whether to include related data from the original object, such as Attachments or Comments, in the copy, as well as whether to include references to the object. For example, Workflow Templates in Compliance

99 if you copy an incident that references a policy, then you can choose whether the copied incident also references the policy. The referenced policy is not copied, but the policy is updated to reference both the original incident and the copied incident. When you move an object, the entire object, including all child objects and related and referenced data, is removed from the original folder and placed in the target folder. For example, if you move an incident that has an investigation and also references a policy, then both the incident and the investigation are moved to the target folder. The referenced policy remains in its original location. The Copy/Move workflow rule is available for objects in FA2 and FA3 modules. Configure the Copy/Move Workflow Rule to Copy an Object 1. Add the Copy/Move workflow rule to a workflow step. 2. In the Workflow Step Rules list on the Rules tab, click Actions > Edit next to the Copy/Move rule. 3. From the When Event Is list, select whether to execute the rule when the event is Step Start, Step Stop, or Step Complete. 4. In the Folder Type section, select whether to copy the object to a Standard Folder or a System Folder. 5. In the Target Folder field, specify the target folder for the copied object. 6. In the Action section, leave the default selection of Copy. 7. Select or clear the check boxes at the bottom of the window to specify the related data and referenced data to include in the copy. The options that appear depend on the type of object you are copying and the configuration of your Compliance 360 system. 8. Click Save. Configure the Copy/Move Workflow Rule to Move an Object 1. Add the Copy/Move workflow rule to a workflow step. 2. In the Workflow Step Rules list on the Rules tab, click Actions > Edit next to the Copy/Move rule. 3. Find the object in the list, and click Actions > Copy/Move. The Copy/Move window opens. 4. From the When Event Is list, select whether to execute the rule when the event is Step Start, Step Stop, or Step Complete. 5. In the Folder Type section, select whether to move the object to a Standard Folder or a System Folder. 6. In the Target Folder field, specify the target folder for the object. 7. In the Action section, select Move. 8. Click Save. Workflow Templates in Compliance

100 Create Object Rule You can automatically follow-up on a completed assessment if an assignee's response to a question indicates that additional action is needed. You might want to do this in the following types of situations: An answer to an assessment created in Universal Assessments indicates that an incident be generated to research and coordinate remediation. When assessing a business partner in Third Party Risk Management, an answer to a question indicates that the partner has some issues in its supply chain, an incident can automatically be generated to research the impact. Responses to a disclosure assessment in Conflicts of Interest Manager indicate that a conflict of interest submission should be generated so that you can report, manage, and take action on the conflict to adhere to compliance guidelines. To create these new objects automatically, you must add the Create Object rule to the Complete step of an Assessment Assignment workflow template, which is the only type of workflow template that supports the Create Object rule. This topic provides the steps to add the Create Object rule to the Complete step. However, additional configuration is required to ensure that all of the necessary objects are in place and set up correctly before the object can be created. See the following topics for a guide to implementing this functionality: Create an Object from an Assessment Response topic in the Universal Assessments section of the Help Configure Automatic Creation of Conflicts of Interest in the Conflicts of Interest Manager section of the Help Prerequisites Create an object template for the object that you plan to create with this rule. Create a workflow template for the object that you plan to create with this rule. How to Add the Create Object Rule 1. Open the assessment assignment workflow template to which the Create Object rule will be assigned. a. Go to Maintenance > Assessments > Workflow Templates. b. In the Division field, enter a division or click to select a division. c. From the Type list, select Assessment Assignment. d. In the Workflow Templates list, find the workflow template and click Actions > Edit. The Modify Workflow Template page opens, starting with the Workflow Template tab. 2. In the Workflow Steps list, find the Complete step and click Actions > Edit. The Workflow Step Wizard opens, starting with the Step Information tab. Workflow Templates in Compliance

101 3. Click the Rules tab. 4. Add the Create Object rule to the step: a. In the Workflow Step Rules list, click Add Rule. The Catalog Rule Select page opens. b. Click Select next to the Create Object rule. c. Click Close. The rule appears in the Workflow Step Rules list. 5. Click Actions > Edit next to the rule. The Modify Step Rule page opens. 6. From the When Event Is list, select Requested Execution. This option triggers the Create Object rule to create the object when the criteria defined in the questionnaire rules are met. 7. In the Rule Information section, enter information for the Create Object rule. Field Component Object Template Description Select the module/module type for the object that you want to create. Only modules/module types with object templates are available for selection. Enter the name of the object template to use for creation of the object, or click to select the object template. When you select an object template, a list of component fields from the object template appears in the Field Mapping section. Workflow Template Object Owner Enter the name of the workflow template to use for the created object, or click to select the workflow template. Enter or select the name of the user who will be responsible for the created object, or click to use a token. Tip: Keep in mind that if you use a token, the tokens are associated with assessments, not the object that you want to create. So the responsible party token would be the assignee, not the responsible party of the created object. 8. In the Field Mapping section, enter or select the values that should appear for the created object. Click to use a token from the associated assessment. The default values are from the selected object template. You can replace those default values with the details from the assessment that you would like to capture. 9. Click Save and Return to save the changes and return to the Rules tab of the Workflow Step Wizard. 10. Click Finish to return to the Modify Workflow Template page. 11. Click Save and Return to return to the Workflow Templates list. Workflow Templates in Compliance

102 Date Notification Rules Date Field Dependency Date notification rules, such as Set Date, use specific date fields associated with objects to determine when to send messages. What if I want to change the date used to trigger the rule or clear the date entirely? If this rule is set to execute at the start of a step, the information in the associated date field used to trigger the rule when the step starts is the date used. If you clear or edit the information in that date field after the step has started, it does not change how the rule will be triggered because that date has already been set for the rule. If you do not want the rules to trigger, you can do one of the following: Before the object reaches the step on which the rule is set (such as a step that publishes the object), you can clear or edit the date field that triggers the rule. You can move the object to the next step and then move it back to restart the step. You can restart the step on which the rule is set. What if there are no date fields? While this rule is available in workflow templates, you may not be able to use it if the object does not contain a date field. This may happen if your organization decided the business did not need the date fields and had a system administrator remove them from the object in the Forms Configuration or System Management sections of the Maintenance module. It is also possible that the default configuration for a module does not include any date fields on the object. For instance, assume you are in the Conflicts of Interest module and want to create a workflow template that included the Set Date rule. However, prior to this, your system administrator removed the date fields from the Conflict of Interest page because the business did not feel they were necessary for whatever reason. When you create a workflow step and browse through the list of rules, you will see the Set Date rule. You can even add it to the step. However, it can't be configured because there are no fields available to select in the required Date to Set field. You will not be allowed to save the rule. Therefore, you should remove the rule from the step to eliminate confusion later. Number of Days Trigger When date notification rules rely on a specified number of days to trigger, the value of 0 means the notification should be sent that day. For example, when you configure the [X] Days Notification rule and set the Days to Execute After Step Starts field to 0, the notification is sent the day the step starts. However, if the number was set to 1, the notification is sent the day after the step starts. EHR Transmission Appeal Rule The EHR Transmission Appeal rule creates an appeal after [X] transmission from EHR is received. The Appeal Operation field allows you to specify whether you want to create a new appeal or update an existing appeal. Workflow Templates in Compliance

103 Create New Appeal: This option creates a new appeal when the specified conditions have been met. The system uses the information you supplied at the bottom of the rule form: appeal name, appeal due date, appeal date, decision date, appeal tracking number, and appeal delivery method to create a new appeal. Update Latest Appeal: This option updates an existing appeal when the specified conditions are met. There is an additional option called Create New Appeal if There is No Latest Appeal. When selected, the system looks for an existing record. If a record does not exist, the system creates a new one using the information you supplied at the bottom of the rule form: appeal name, appeal due date, appeal date, decision date, appeal tracking number, and appeal delivery method. See the Basic Functionality > Workflow Templates section of the Help for more information. EHR Workflow Rules In the Claims workflow templates of the Claims Audit Manager, you can add rules that help with the flow of EHR transmissions. EHR From Navigation Navigates to a specified workflow step after X transmission from EHR is received. 1. Go to the Claim workflow template. 2. Edit the EHR From Navigation rule. 3. Select an option from the Record Type field. 4. Select one or more options from the EHR Status list. By selecting more than one status, you can apply the same rule for various statuses at one time. 5. Select an option from the Step to Start field. 6. Click Save and Return. EHR From Notification Notifies the responsible parties after X transmission from EHR is received. 1. Go to the Claim workflow template. 2. Edit the EHR From Notification rule. 3. Select an option from the Record Type field. 4. Select one or more options from the EHR Status list. By selecting more than one status, you can apply the same rule for various statuses at one time. 5. Select the Notify Claim Responsible Party check box if a notification is to be sent. 6. Select the Notify Audit Responsible Party check box if a notification is to be sent. 7. If a notification is to be sent: Workflow Templates in Compliance

104 Select an option from the Message to Send drop-down list. Enter information in the Message Subject field. Enter information in the Additional Information field. 8. Click Add Employees or Add Group to add users for the Rule Team Members. 9. Click Save and Return. EHR Send Transmission Rule Allows EHR transmissions to be sent by workflow events. 1. Go to the Claim workflow template 2. Edit the EHR Send Transmission rule. 3. Select an option from the Execute Event drop-down list. 4. Select an option from the Record Type drop-down list. 5. Select an option from the Step On Error drop-down list. 6. Click Save and Return. General Notification Rule The General Notification workflow rule enables you to send s to groups and employees as part of a workflow step. The message content may be customized to address your business need. If this workflow rule contains a large number of groups and employees that require messages and you are experiencing performance issues, contact your account representative. SAI Global can enable a setting in your database that allows this rule to be executed asynchronously. This means you will be able to continue working in the system while the messages are generated and sent as part of a background process. This setting is available for workflow templates for FA3 modules. Once the setting is enabled, you must update your FA3 workflow templates that use this rule to enable the asynchronous behavior. Simply create or edit an existing rule, select the Execute Workflow Rule in Background field, customize the message, and save it. The following example shows the field for a new General Notification rule that is being created in an Investigation workflow template. Workflow Templates in Compliance

105 Note: If you check that you want to execute this rule in the background, your audit trail may be different for different groups to reflect the accurate time the s were sent. Gift Limit Threshold Alert Rule The Gift Limit Threshold Alert rule notifies the specified team members when a submitted gift meets or exceeds a percentage threshold of a gift limit. This rule is not applicable to limits aggregated by transactions, but only to gift limits that are time-based (rolled up either by employee or profile). Workflow Templates in Compliance

106 Note: This rule is available only for Gift workflow templates in the enhanced Gifts and Hospitality Manager module. It is not available to workflow templates in the legacy version of the module. You can set up one or more threshold levels that should trigger the rule. These thresholds are percentages of the limit (for example, 50%). If a gift crosses more than one threshold, the highest one is included in the notification. It uses the Gift Balance Notification message which provides information about the gift limits associated with the gift and balances, both with and without the gift. Caution: If you want to notify the management hierarchy for an employee, this information must be available on the Relationships table on the Employee Information tab of the employee's record. These relationships allow you to use the [RESPONSIBLE_PARTY] token and select the appropriate relationship when configuring the rule. How Many Versions of the Rule Are Needed? You can add multiple versions of this rule on the same step of your workflow if you need to notify different individuals at separate threshold percentages or if you want to set up different messages for them. You can, however, use one rule to handle all the notifications. One Rule If you want to send the same message to all parties using the same threshold percentages, you need to include only one version of this rule on the workflow step. For example, both the gift submitter (the responsible party) and the submitter's manager need to notified when they are at 50% and again at 75% of the gift limit. Multiple Rules If you want to send messages based on different thresholds to certain team members, you would include multiple versions of this rule on the same workflow step. For example, the threshold value may determine who needs to be notified: Managers want to know at 85%, 95%, and 100% of the gift limit. The text to a manager could also be different. A gift submitter only needs to know when they are at 75% of their limit. If you wanted to send different messages to different team members, you would also want to set up multiple versions of the rule on the same workflow step. To Implement this Rule This rule is not included in the default Gifts and Hospitality workflow. If you want to enable the threshold alert, you must do the following: 1. Add the rule to the first workflow step after the gift has been submitted. In the default worklow, that step is the Pending Review step. Workflow Templates in Compliance

107 2. Move it from the bottom of the list of rules to immediately following the Include/Remove from Balance workflow rule 3. Configure it for your organization. 4. Establish the threshold percentages for notifications. Select the Gift Balance Notification message to send. Enter the message subject and any additional information. Add the users that should receive the notification. The following example adds one version of the rule to the default workflow template. Add and Move the Rule The rule must be moved so that it executes after the gift is included in the gift limit balance, but before the gift is approved or declined. 1. Edit the Pending Review step and add the Gift Limit Threshold Alert rule. 2. Find the rule in Workflow Step Rules list and click Actions > Move Up. 3. Repeat until the rule is before the Gift Routing and Navigation rule, which must always be the last rule in the list. Configure the Rule After the rule has been added and positioned in the workflow step, you must configure the rule parameters so that your notifications are sent at the appropriate threshold. Workflow Templates in Compliance

108 1. Click Actions > Edit to configure the Gift Limit Threshold Alert rule. 2. Leave Step Start as the value of the Execute Event field. 3. Enter a percentage at which you want a notification to go out if a gift meets or exceeds this value in the Threshold Values field and click Add. Tips: Do not enter the percent sign (%). You can enter the thresholds in any order because the list is automatically sorted. Enter the value first, then click Add. 4. Add any additional percentages to the Threshold Values. Notice that the list is sorted in numerical order. Workflow Templates in Compliance

109 Tip: Click Actions > Delete to remove a value from the list. 5. Select Gift Balance Notification in the Message to Send field. 6. Enter a subject in the Message Subject field. In our example, we entered the following token and text: 7. Add any other information that you would like to include in the message in the Additional Information field. The message itself contains details about the gift and the specific gift limit balances. 8. To notify the gift submitter, click Add Token in the Rule Team Members list, select the [RESPONSIBLE_ PARTY] token, and close the dialog. 9. To notify the gift submitter's management hierarchy, in the Rule Team Members list: a. Click Add Token. b. Select the [RESPONSIBLE_PARTY] token. c. Close the Tokens dialog. d. Repeat these steps if you want to notify more than one manager to add multiple tokens to the list. Workflow Templates in Compliance

110 10. Select the appropriate management level in the Relationship field for each [Responsible_Party] token, other than the one representing the gift submitter. 11. Click Save and Return. Your rule is now ready to be executed. Workflow Templates in Compliance

111 Workflow Templates in Compliance

112 The following message is generated when a threshold is met or exceeded, and includes information for any gift limit associated with the gift. Gift Routing and Navigation Rule The Gift Routing and Navigation Rule sends the gift object to the specified workflow step [X] upon determination of an applied gift limit. You can set the workflow step to be used if the gift limit was applied successfully (for example, the Approved step) and the step to be used if the gift limit application failed (the Declined step). Using this rule to automate the review and disposition of gift submissions streamlines the workflow. You can, if desired, choose to send the gift to an intermediate step instead of Approved/Declined if you want more administrative intervention in the workflow. Note: This rule is available only for workflow templates in the enhanced Gifts and Hospitality Manager module. It is not available to workflow templates in the legacy version of the module. How the rule processes the limit information is determined by the aggregation type of the gift limit. Aggregation types indicate how you want to calculate if a gift is within the limit. The options are: Transactional - Accept if the gift is within the limit amount. Time based (rolled up per employee - Accept if the gift is within the balance limit for the submitter (employee) for specified period of time (annual gift limit, monthly gift limit, quarterly gift limit). Workflow Templates in Compliance

113 Time based (rolled up by profile) - Accept if the gift is within the balance limit for all the submitters in this profile for specified period of time (annual gift limit, monthly gift limit, quarterly gift limit). As soon as the gift is submitted, the gift limit balance is updated according to how the Include/Remove Gift in Gift Limit Balance Calculation rule is evaluated. Then, the Gift Routing and Navigation rule decides if the gift is within the established limits or not for the aggregate type. If it is within limits, the gift is approved. If it is not, the gift is rejected. The gift is then sent to the appropriate step in the workflow. Audit Trail Entries When workflow rules are fired and applied for a gift, the audit trail captures the following details so that you can understand when and how a gift was either approved or declined without having to dig through each of the potential gift limits to see which ones were applied. The rule that was applied that caused the gift workflow status to be either approved or declined. Type of Change = Workflow Status Updated to X When Rule Y Executed o o X is populated with the value for Workflow Status set for the gift by the rule. Y is populated with the value for the rule name that had updated the gift workflow status. The Gift Limit Name that the gift amount was applied to. Type of Change = Gift Limit Z Association at the Time of Inclusion or Exclusion o o Z is populated with value for the Limit Name for the gift limits that were associated with the gift. When the value of the Include in Balance was updated from Yes to No or vice versa, an audit trail entry is created. When there are no Gift Limits associated with a Gift, then the audit trail message displays No Gift Limit associated at the time of inclusion or exclusion. Lookup Value Move Rule The Lookup Value Move rule allows you to move an object to a specific folder and workflow when one or more lookup values meet the criteria specified in the configured workflow rule. The following modules include this rule: Claims Audit Manager Claims Denial Manager Conflicts of Interest Manager Documents Enterprise Risk Manager Gifts and Hospitality Manager Incidents Meetings Manager Privacy Breaches Policy Manager Projects Manager Workflow Templates in Compliance

114 Third Party Risk Management Universal Assessments When you move an object, the entire object, including all child objects, related and referenced data, and revisions, is removed from the original folder and placed in the target folder. For example, if you move an incident that has an investigation and also references a policy, then both the incident and the investigation are moved to the target folder. The referenced policy remains in its original location. Trigger This workflow rule triggers when the workflow step starts. Remember, as with any navigation rule, if you are going to use it in the first step of a workflow, whatever trigger you are using must be set before you save for the first time. Business Scenario Company A wants to move documents in the Documents module to the Projects folder when the value of the Document Type field is Diagram. To demonstrate the process, we will use the Workflow Test template and the Projects folder in the Documents module. The folder and workflow template do not appear in your system by default. You must create them before you follow the procedure. If you decide to create a similar workflow template to use for practice, be sure to add General Modification, Collaboration, and Approval steps. 1. Go to Operations > Documents > Workflow Templates. 2. Find the existing workflow template in the Workflow Templates list. 3. Click Actions > Edit. The Modify Workflow Template page displays. 4. Scroll down to the Workflow Steps list. 5. Find the General Modification step in the list. 6. Click Actions > Edit.The Workflow Step Wizard page displays. 7. Click the Rules tab. 8. Scroll down the page to the Workflow Step Rules list. 9. Click Add Rule. 10. Find the Lookup Value Move Rule on the Catalog Rule Select page. 11. Click Select. 12. Click Close. The page closes and displays the Modify Workflow Template page. 13. Find the rule you just added in the Workflow Step Rules list. 14. Click Actions > Edit. The Modify Step Rule page displays. 15. Select Document Type in the Lookup Field drop-down list. Workflow Templates in Compliance

115 16. Select Diagram in the Values field drop-down list. Tip: If you ever need to select multiple options in the Values field, press the Ctrl key while you use the mouse to click the items. 17. Select Projects in the Folder field. 18. Select the Step Start in the Execute Event field. 19. Click Save and Return. 20. Click Finish on the Modify Workflow Template page. Now, when a document enters the General Modification step, the system looks at the value of the Document Type field. If the value is Diagram, the document is moved to the Projects folder. Another Potential Use The Lookup Value Move rule may be useful when used in conjunction with the Set Lookup Value rule in the Policy Manager module. For example, you may add a lookup field called Archived with lookup values Yes and No. Then, when you move your policy to the Retired step, you can set the new lookup value to Yes and use this rule to automatically move it to a Retired folder. This is just one example of way to use this rule. Lookup Value Navigation Rule The Lookup Value Navigation rule allows you to move an object to a specific step in the workflow when one or more lookup values meet the criteria specified in the workflow rule. The following modules include this rule: Claims Audit Manager Claims Denial Manager Conflicts of Interest Manager Documents Gifts and Hospitality Manager Incidents Internal Audit Privacy Breaches Third Party Risk Management Universal Assessments Trigger The workflow rule triggers when the workflow step starts. Remember, as with any navigation rule, if you are going to use it in the first step of a workflow, whatever trigger you are using must be set before you save for the first time. Business Scenario Company A wants to move documents in the Documents module to the Collaboration step when the value of the Document Type field is Diagram. Workflow Templates in Compliance

116 To demonstrate the process, we will use the Workflow Test template in the Documents module. This template does not appear in your system by default. If you decide to create a similar workflow template to use for practice, be sure to add General Modification, Collaboration, and Approval steps before going through the steps in this example. 1. Go to Operations > Documents > Workflow Templates. 2. Find the existing workflow template in the Workflow Templates list. 3. Click Actions > Edit. The Modify Workflow Template page displays. 4. Scroll down to the Workflow Steps list. 5. Find the General Modification step in the list. 6. Click Actions > Edit. The Workflow Step Wizard page displays. 7. Click the Rules tab. 8. Scroll down the page to the Workflow Step Rules list. 9. Click Add Rule. 10. Find the Lookup Value Navigation rule on the Catalog Rule Select page. 11. Click Select. 12. Click Close. The page closes and displays the Modify Workflow Template page. 13. Find the rule you just added in the Workflow Step Rules list. 14. Click Actions > Edit. The Modify Step Rule page displays. 15. Select Document Type in the Lookup Field drop-down list. 16. Select Diagram in the Values field drop-down list. Tip: If you ever need to select multiple options in the Values field, press the Ctrl key while you use the mouse to click the items. 17. Select Collaboration in the Step to Start field. 18. Select the Step Start in the Execute Event field. 19. Click Save and Return. 20. Click Finish on the Modify Workflow Template page. Now, when a document enters the General Modification step, the system looks at the value of the Document Type field. If the value is Diagram, the document is moved to the Collaboration step. Move and Start Rule The Move and Start Workflow rule is available for General Modification steps in workflows used in the Incidents module to allow you to move an incident from a division and folder to another division and folder Workflow Templates in Compliance

117 based on values found in the selected lookup field on the incident. When moved, the incident would inherit the workflow template assigned to the folder and be in the template's default step. You can also choose to move it to a different division provided in a custom field on the incident that is completed when it is first created and evaluated. If that field is not completed or does not contain a valid division, the rule allows you to select a default division to be used in those cases. Using this rule keeps you from manually moving each incident to the appropriate location after it has been evaluated and changing the workflow associated with it. Previously, if you moved the incident to the appropriate location, you would need to edit it and assign the appropriate workflow to it. When you move an incident, the entire incident, including all child objects and related and referenced data, is removed from the original folder and placed in the target folder. For example, if you move an incident that has an investigation and also references a policy, then both the incident and the investigation are moved to the target folder. The referenced policy remains in its original location. To Implement this Rule This rule is most beneficial when in your organization, incidents are all created in an initial folder for a specific division. Then they are moved to another division and sub-folders based on the particular fields that are completed for each incident. After the incident is moved, it has the workflow template applied that is assigned to the destination folder and is moved to the default workflow step for that template. You need to have the following items available to use this rule: An initial division and folder where incidents are stored. A standard set of folders for each division, with their own workflows and workflow team members, in which incidents are to be stored and worked. Fields on the incident that provide the following information: o o The division to which the incident should be moved. A lookup field containing the various values that determine to what folder the incident should be moved to. A simple workflow automatically applied to all incidents when they are first created that contains: o o An action on a step of the workflow that moves the incident to the final step of the workflow. A General Modification step that is the final step of this initial workflow containing the configured Move and Start Workflow rule. Folders In our example, incidents are all created in the primary Incidents folder for a specific division (SAI Global, in our example). Then they are moved to specific sub-folders for a particular destination division or remain in the default SAI Global. In our example, every division has a General, Internal, Legal, and Financial folder in which incidents are managed. These folders all have workflow templates and team members. Workflow Templates in Compliance

118 Fields Used to Drive the Move Your Incidents page needs to have fields that provide the division the incident should be moved to and a lookup value that determines what folder the incident should be moved to. We are moving the incidents to the division indicated in a custom Destination Division field that is completed when the incident is first evaluated and to the appropriate folder based on the value in the Source field on the incident. Move and Start Workflow Rule Configured on Initial Workflow We suggest that you have a very simple workflow that is applied to newly created incidents that allows them to be evaluated and the necessary information to be included. In our example, we have an initial two-step workflow with an Open step that allows the incident to be edited and reviewed. That step also has been configured with a Move action that sends the incident to the next step in the workflow called Move. The final step in this initial workflow is the Move step. Workflow Templates in Compliance

119 The Move step in our example is a General Modification type step to which we have added the Move and Start Workflow rule. Workflow Templates in Compliance

120 Destination Division Field and Default Destination Division In Destination Division Field, select the field on your Incident page that indicates the division the incident should be moved to after the incident is evaluated and saved initially. It becomes the division in the folder path where the incident will be moved to. The fields available to be selected are the text fields on the Incident page. In the Default Destination Division field, select the division you want to move the incidents too if the information in the entered in the Destination Division Field on the Incident page is blank or not valid. You could select the initial division where the incidents are first created, for example. Workflow Templates in Compliance

121 Lookup Field In Lookup Field, select which field contains the value that will be used to determine where the incident should be moved it. By default, it shows the first lookup type field available for an Incident entity, in alphabetical order. In our example, we are going to select the Source field: Lookup Text Mapping Table In the Lookup Text mapping table, for each Lookup Text value that should be used to move the incident, click Actions > Edit to enter the folder path manually. The values listed in the Lookup Text field of the table are those available for the selected lookup field. If a value is specific for a division, that path is displayed in the Lookup Division Path field. In the Folder Path field, you must enter the complete path starting with the first folder under the division folder: Workflow Templates in Compliance

122 The folders must be spelled exactly the way they are in Folder Maintenance. If the folders don't exist, you can still complete this field and add them later before using the workflow. Separate folders and subfolders with \. You can either use a space on either side of the \ to make it easier to read or not; the application accommodates both entry formats. Click Actions > Save to map the text to the indicated folder. Complete all the lookup text fields that are required. Execute Event Select when to execute the rule. Normally, this would be on Step Start. Then click Save and Return and then save your workflow step and finished workflow. Workflow Templates in Compliance

123 Use the Rule to Move Incidents After your workflow template is created and set as the default for your initial folder where incidents are created, add a new incident and complete the minimum fields required by your organization. You must complete the fields needed to set the destination division and the field used to determine where the incident is to be moved. In our example, that is the Destination Division and Source fields, as shown in the following image. Workflow Templates in Compliance

124 Workflow Templates in Compliance

125 After the incident has been evaluated, select the action that moves the incident to the final step of the workflow that executes the Move and Start Workflow rule. In our example, that action is Move. If you have batch actions enabled on your list, you could use the For Selected > Move action to manage multiple incidents at one time. When you go to one of the folders in the appropriate division, you should see the incidents that met the criteria outlined in the Lookup Text Mapping table, with the appropriate status for the workflow assigned to that folder. Tip: You may want to have the incident go straight to a Collaboration type step so that the appropriate workflow team members are notified to begin working on the incident. In our example, we begin with the Planning step. Navigate Single Remit and Import Remits Rule Provides the option to bring in all of the remits associated with a claim during the claim import while still checking to see if the claim has a single remit and navigating the single remit to the next workflow step. The imported remits use the default Remit workflow template. The new functionality to search and import additional remits is controlled via a new check box option on the Navigate Single Remit and Import Remits rule. Workflow Templates in Compliance

126 Numeric Value Navigation Rule The Numeric Value Navigation rule allows you to move an object to a specific step in the workflow when a numeric value meets the criteria specified in the workflow rule. This rule applies to whole number, longer number, currency, decimal, and percent field types. Note: When setting up the rule, only use a number when entering a value in the Numeric Value field. Special and alphabetic characters are not allowed. For example, you can create the rule Move to step X when field Y is greater than 10, but not Move to step x when field Y is greater than $10 since $ cannot be used in the Numeric Value field. If you enter something other than a number, the rule will not execute successfully. The numeric value comparison can be set to one of the following options: Is Equal To Is Not Equal To Is Greater Than Is Less Than Is Greater Than or Equal To Is Less Than or Equal To Between The following modules include this rule: Claims Audit Manager Claims Denial Manager Conflicts of Interest Manager Documents Employee Management Enterprise Risk Manager Gifts and Hospitality Manager Incidents Internal Audit Meetings Manager Policy Manager Privacy Breach Management Projects Manager Third Party Risk Management Universal Assessments Workflow Templates in Compliance

127 Trigger The workflow rule triggers when the workflow step starts. Remember, as with any navigation rule, if you are going to use it in the first step of a workflow, whatever trigger you are using must be set before you save for the first time. Business Scenario Company A added a Test Number field to documents in the Documents module. They would like documents to move to the Collaboration step when the value of the Test Number field is greater than 100. To demonstrate the process, we will use the Workflow Test template in the Documents module. This template does not appear in your system by default. If you decide to create a similar workflow template to use for practice, be sure to add General Modification, Collaboration, and Approval steps before going through the steps in this example. 1. Go to Operations > Documents > Workflow Templates. 2. Find the existing workflow template in the Workflow Templates list. 3. Click Actions > Edit. The Modify Workflow Template page displays. 4. Scroll down to the Workflow Steps list. 5. Find the General Modification step in the list. 6. Click Actions > Edit. The Workflow Step Wizard page displays. 7. Click the Rules tab. 8. Scroll down the page to the Workflow Step Rules list. 9. Click Add Rule. 10. Find the Numeric Navigation rule on the Catalog Rule Select page. 11. Click Select. 12. Click Close. The window closes and displays the Modify Workflow Template page. 13. Find the rule you just added in the Workflow Step Rules list. 14. Click Actions > Edit. The Modify Step Rule page displays. 15. Select Test Number in the Numeric Field drop-down list. 16. Select the Is Greater Than in the Operator field. 17. Enter 100 in the Numeric Value field. Note: Only enter a number. Special and alphabetic characters are not allowed. 18. Select Collaboration in the Step to Start field. 19. Select the Step Start in the Execute Event field. Workflow Templates in Compliance

128 20. Click Save and Return 21. Click Finish on the Modify Workflow Template page. Now, when the document enters the General Modification step and the workflow rule executes, the system determines if the value of the Test Number field is greater than 100. If the value is greater than 100, the document is moved to the Collaboration step. If the value is 100 or less, the document remains in the General Modification workflow step. Keep in mind that if the rule had been set up to say they would like documents to move to the Collaboration step when the value of the Test Number field is less than 100, then the document would move to the Collaboration step if the following were true: The user had entered in an actual number less than 100 to the field. OR the user had left it empty Parent Object Navigation Rule The Parent Object Navigation workflow rule allows you to move the parent object to any step in its workflow based on specific conditions of the child objects. For instance, you may want to move an incident to a specific workflow step based on the state of one or more of its child objects, such as investigations. You may want to automate a variety of processes, including but not limited to: Close an incident automatically when the last investigation associated with it is closed. Close an incident after the last status update is completed. Move the parent incident to a General Modification workflow step type with a status of Investigations Pending once all of its child object investigations have been moved to a General Modification workflow step type with the status of Investigations in Process. Move the parent incident to an Approval workflow step type with a status of Pending Approval when at least one of the child object investigations have been moved to a General Modification workflow step type with the status of Closed. Move the parent incident to the General Modification workflow step type with a status of Closed when one or more of the child object investigations have been moved to a General Modification workflow step type with the status of Closed. The examples mentioned above are only limited by the configuration of your parent and child object workflow templates. The more complex your workflows, the more options you have. Availability The Parent Object Navigation workflow rule is available in all of the workflow steps (Approval, Collaboration, and General Modification) of the Investigation and Status workflow templates in the Incidents module. Workflow Templates in Compliance

129 Key Considerations Because the Parent Object Navigation rule is highly customizable, your system administrator must have a clear understanding of the fields used to specify the criteria for the rule on the Modify Step Rule page. Additionally, the following points should be considered: If the Parent Object Navigation workflow rule is applied to the first step in the Investigation workflow template, the rule does not work on the initial iteration. This means when the workflow template is assigned to an investigation, the rule does not execute. If a later step has a rule that moves the investigation back to the initial step in the workflow, the rule will execute. When moving the parent object, make sure the child object's workflow step does not contain a rule that collides with a rule in the parent object's destination step. Avoid situations where the parent object's step has a rule that says do X on a Collaboration step when the child has a rule to do Y on the parent's Collaboration step. Child objects do not have to use the same workflow template. Therefore, you may have several investigations that use different workflow templates as long as the child and parent workflows do not collide. We do not recommend using two child rules to work on the same child or two parent rules on the same incident that navigate the same step type with the same status. You can use multiple child rules to work on each child separately (e.g., a status update child rule and an investigation child rule) within the same incident. The configuration of the Parent Object Navigation workflow rule is based on the parent workflow template's step types and statuses. The step type is the generic step (Approval, Collaboration, and General Modification) and not what you may have renamed it. Before you add the rule to child workflow template, review the parent template and make note of the step type you want to refer to along with its status value. There may be situations where a parent object that meets the criteria defined in the Parent Object Navigation rule will not be moved to the specified step because the object does not meet the step entry conditions for the destination step. Refer to the Controlling Step Entry Criteria topic in the Basic Functionality section of Online Help to learn more. Modify Step Rule Once the rule is added to a workflow step, it must be opened for editing. The Modify Step Rule page is where you specify the rule's criteria. The following image shows the default values. Workflow Templates in Compliance

130 Name Description Basic information about the child object and workflow rule. Workflow Templates in Compliance

131 Name Workflow Step Name Description Name of the workflow step. When the workflow step is created, this field defaults to the name of the workflow step type (General Modification, Collaboration, etc.). The field can be changed to reflect the step in your business process. In the image above, the workflow designer never changed the text in this field and accepted the default, which was the name of the workflow step type. Workflow Step Description Name Description Description of the workflow step. When the workflow step is created, this field defaults to the workflow step type description. The field can be updated to reflect the description of the step in your business process during the step configuration. Name of the workflow rule. Description of the workflow rule. Identify when the rule should be executed. Once you configure and save the rule, this text is updated to reflect the intention of the rule. This information is provided by the system automatically and cannot be changed. When Event Is Defines when the rule triggers based on where the child object(s) is in the workflow step. The rule may execute when the step starts, step stops, or the step is completed. What type of child objects should be evaluated before the rule executes? When Children In Step Indicates if all of the child objects must be in the state you will define before the parent object can be moved, or if any (at least one) of the child objects may be in the state before the parent object can be moved. In this context, the child objects being evaluated are the ones associated with the workflow template type. For instance, if this is configured in an Investigation workflow template, the investigations are evaluated not any of the other child object types, such as status updates. Workflow Templates in Compliance

132 Name Description Identify the criteria the child object(s) must meet before the parent object is moved. Notes: You CANNOT use both of the following sections together. You must use the That Are In section or That Are Not In section; otherwise, unintended results may occur. Configure one section or the other but not both. If these sections are left blank, the parent object is moved, regardless of the child workflow step type and status combinations. That Are In In this section, specify the criteria to be used to specify the workflow step type and status the child object(s) must be in to determine if the parent object should be moved. That Are In With Status Identify the workflow step type the child objects must be in to determine if the parent object should be moved. Enter the status of the child object. This status MUST match the text that is configured in the child workflow template. For instance, if the text in the child workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign the rule does not recognize the status in the criteria as matching the status of the child object. Therefore, the parent object is not moved. When this field is left blank, the navigation can still occur if there is a child that contains the step type that is set for That Are In field within the rule. That Are Not In In this section, specify the criteria to be used to specify the workflow step type and status the child object(s) must not be in to determine if the parent object should be moved. That Are Not In With Status Identify the workflow step type the child objects are not in that are to be evaluated to determine if the parent object should be moved. Enter the status of the child object. This status MUST match the text that is configured in the child workflow template. For instance, if the text in the child workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign, the rule does not recognize the status in the criteria as matching the status of the child object. Therefore, the parent object is not moved. When this field is left blank, the navigation can still occur if there is a child that contains the step type that is set for That Are Not In field within the rule. Workflow Templates in Compliance

133 Name Description Identify where should the parent object be moved to. Execute Parent Step Event Parent Step Type With Status Indicate where in the workflow step the parent object should be moved to. Indicate the workflow step type the parent object should be moved to. Enter the status of the parent object. This status MUST match the text that is configured in the parent workflow template. For instance, if the text in the parent workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign, the rule does not recognize the status in the criteria as matching the status of the parent object. Therefore, the parent object is not moved. When this field is left blank, navigation can still occur if there is an existing step type within the workflow template that matches the set parent step type within the rule. Identify when the parent object should be moved. Notes: While it is possible to use these sections together, it is not recommended. You must use the That Is In section or That Is Not In section; otherwise, unintended results may occur. If these sections are left blank, the parent object is moved, regardless of their workflow step type and status combinations. That Is In Use this section to set up the criteria for the rule to move the parent object that are in a specific workflow step type with a specific status. Only the parent object that meets these criteria will be moved. That Is In With Status Identify the workflow step type the parent object must be in when it is moved. Enter the status of the parent object. This status MUST match the text that is configured in the parent workflow template. For instance, if the text in the parent workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign, the rule does not recognize the status in the criteria as matching the status of the parent object. Therefore, the parent object is not moved. If this field is left blank, only the parent object that is in the workflow step type that are specified in That Is In field is moved. Workflow Templates in Compliance

134 Name Description That Is Not In Use this section to set up the criteria for a rule to move the parent object that are not in a specific workflow step type with a specific status. That Is Not In With Status Identify the workflow step type the parent object must NOT be in for it to be moved. Enter the status of the parent object. This status MUST match the text that is configured in the parent workflow template. For instance, if the text in the parent workflow template is Collaborating, and you transpose a couple of letters in this field so that the text entered is Collaboratign, the rule does not recognize the status in the criteria as matching the status of the parent object. Therefore, the parent object is not moved. If this field is left blank, the parent object in the workflow step type that is specified in the That Is Not In field is moved. High-Level Sample Configuration The purpose of this overview is to give you a general idea of how the Parent Object Navigation workflow rule is used to close the parent incident, regardless of where it is in its workflow, when the last investigation is closed. Setup To show you how this is done, we have to assume that: A very basic Incident workflow template with a minimum of two steps exists. The name of the steps retained the default workflow step type name, and their statuses were changed from their default values. The new step statuses are Planning, Investigations Pending, Pending Approval, and Closed. An Investigation workflow template exists with a very basic workflow that includes Planning, Investigation in Process, Pending Approval, and Closed statuses. Each status is associated with a specific workflow step type. None of these steps have entry conditions. Workflow Templates in Compliance

135 In this example, the workflow names were not changed and retained the name of the workflow step type. Configuration Given the previous setup, do the following to configure the workflow example: 1. Add the Parent Object Navigation workflow rule to the Closed step of the Investigation workflow template. 2. Open the rule for editing. 3. On the Modify Step Rule page, enter the following values and save the page: When Event is: Step Start When Children In Step: All Children That Are In: General Modification With Status: Closed If this field is left blank, the rule believes that as long as all of the investigations are in a General Modification workflow step type, regardless of the status, the parent object should be closed. Execute Parent Step Event: Step Start Parent Step Type: General Modification With Status: Closed If this field is left blank and the parent object actually has more than one General Modification workflow step type, the rule moves the parent object to the first workflow step of the General Modification workflow step type. For instance, in a scenario where you have a General Modification workflow step types for three different steps where each one contains a different statuses, Planning, Investigation in Process, and Closed, the rule will move it to the step that contains the Planning status. Additionally, if the text in this field does not match the status text of the parent object's destination step, the parent object will not be moved. An example would be if the destination step contained the Closed Workflow Templates in Compliance

136 status but this field contained the text Closde. Workflow Templates in Compliance

137 When an incident's last investigation moves to the General Modification workflow step type with the status of Closed, this rule triggers. The system moves the parent incident to the General Modification workflow step type with the Closed status in the parent incident's workflow. Localization For organizations that have implemented the Localization module, the comparison criteria used in the rule's configuration is handled in the organization's default base language. Security Rule When you create an object, it can inherit its security from such things as its folder, its parent, or the object being assessed. However, you can add a rule to a workflow step to edit security behavior, if necessary. As an additional level of security, only groups that have the User for Security option enabled are available to be added to an object on the Security tab if this rule is in place. Note: You cannot restore the security behavior to the original settings once they have been edited. You can, however, continue to make changes to the security options to achieve the same end result. Assessment Example When you create an assessment, the assessment inherits security from the object that is being assessed. When the assessment is assigned, the assessment inherits security from the assignment. You can edit security with a security rule if necessary. For example, you may have an assessment assigned to various employees in different divisions. This method enables you to hide the security permissions from the employees, thus reducing conflict that might occur from others seeing the security level of other employees. Policy Manager Example If a user wanted a policy to inherit a set security at a particular step in the workflow, they set that up and then allow it to be edited if necessary. This could be used to change the security of a published policy. Set Lookup Value Rule A workflow designer is able to set a lookup value from a parent or single reference object using a workflow rule. The following procedure uses the Claims Audit Manager to demonstrate the process. 1. Go to Claims Audit Manager > Maintenance > Workflow Templates. 2. Edit any existing workflow template or create a new one. 3. Fill out all of the required fields. 4. Create a General Modification Workflow step. 5. Go the Rules section. Workflow Templates in Compliance

138 6. Find the Set Lookup Value rule in the list. 7. Click Select. 8. Click Close. 9. Find the rule in the list. 10. Click Actions > Edit. 11. Specify the following settings: a. Execute Event = "Step Start" b. Lookup Action = "Set Lookup Value" When the option Constant is selected, the existing Lookup Field drop down list displays and works as it normally does. When Single Reference is selected, the Lookup Field drop down list is replaced with the Lookup Source Field drop down list. c. Lookup to Update = "Claim Type" d. Lookup Source Field: The field options are populated with all the lookup field types on the single reference or parent object. Notes: If there is more than one single referenced object, the user must select which single reference to use via a new drop-down list called Single Reference. This field displays all of the single reference component names. The value can be copied from the claim to an activated remit and vice versa if the value between the two tables is a textual match. e. Copy Mode: The option you select depends on how fields are being copied with lookup value collections. Text: Use when copying between fields with different lookup value collections. Identifier: Use when copying between fields that use the same lookup value collection. f. Click Save and Return. 12. Click Finish. This saves the workflow template and returns you to the Workflow Template tab. 13. Click Save and Return. To implement this workflow rule, create a new audit and set the Claim Type to Lookup. Then create a new claim in the audit. Set the workflow template to the one you just updated or created and save the claim. Rule Execution When the rule is executed: Workflow Templates in Compliance

139 It operates normally when the lookup source is constant. If the source is not constant, the system populates the Lookup field with the current value of the lookup that is selected in the Source Lookup drop-down list. If the lookup value does not exist in the target lookup, no value is set. Single Reference Navigation Rule The Single Reference Navigation rule allows you to move an object to a specific step in the workflow when a value in a Single Reference type field meets the criteria specified in the workflow rule. You can use an existing field that contains the necessary information or you can create a custom field for that module type that can be added to the Modify page for the object to capture the required information. Note: A single reference field allows you to create a relationship to another component, like an employee or an assessment. A Primary Responsible Party field is an example of a single-reference field. This flexibility can allow you, within the same workflow, to identify an object as needing to be handled by one collaboration or approval teams instead of another. The Single Reference Navigation rule can be added and configured on a step as many times as needed to accommodate the different possible values in the field used to identify workflow team assignments. The Single Reference Navigation workflow rule is available for objects in FA2 and FA3 modules. Trigger The workflow rule triggers when the workflow step starts. Remember, as with any navigation rule, if you are going to use it in the first step of a workflow, whatever trigger you are using must be set before you save for the first time. General Process to Use this Rule 1. It is best practice to make a copy of the workflow you want to edit and test your changes using this copy in a test area of your site. When you are satisfied, it can be exported and imported back into your production area and selected as the default. It will then be applied to all new objects that are created 2. Identify the field that contains the information that should trigger navigation and who the appropriate team members are to work with each value available in that field. Tips: On a Modify page, if the field is editable and has a beside it (with the exception of division and folder fields), it is probably a single-reference type field. You can confirm the field type by finding the field on the list of component fields in Maintenance > Forms Configuration. Select a module and component and click Component Fields. Workflow Templates in Compliance

140 If needed, you can create a custom Single Reference type field and add it to the object's Modify page to capture the information needed to navigate the object. 3. Decide which step needs to execute the rule to move the object to the correct step. This rule can be added to any type of workflow step, such as General Modification, Collaboration, etc. Tips: Because it is a navigation rule, it must be executed when a step starts. If the step normally sends out messages when the step starts, you can create a new step of that type with the sole purpose of routing the objects to the correct step. For example, you can create an Approval type step called Approval Routing to execute this rule however many times it needs to be added. Do not try to configure the rule at this point because you do not have all the required information in place. You may find you want to be specific about what teams are collaborating on reviewing the object and also what teams are to approve an object.if so, you would put rules on both a general Collaboration routing step to send the object to a more appropriate Collaboration step and on an Approval routing step to navigate it to a specific Approval step. 4. Set up the appropriate workflow steps and workflow team members to handle the objects that will be routed to them. Tip: If you create a step just to handle the routing of objects, make sure to do the following: On the Step Information tab, choose the destination step to send the object to if it doesn't contain any of the specific values found in the rules. There are no team members listed for collaboration or approval routes. The step should be set up to automatically advance to the next step. For example, for an Approval type step used for routing you would select Auto Advance to Approved Step on the Approval Route tab. 5. Add the rule to the appropriate step and configure it. Remember to select that this rule executes at Step Start. Add and configure the rule enough times to handle the values that determine the workflow. For example, you could have two values in your selected that need to navigated to specific steps with special teams. All other values in the selected field would be handled by the selected destination workflow step for the step itself. Remember to select that this rule executes at Step Start. 6. Communicate the updates that will make your automated workflow more granular to your teams. Workflow Templates in Compliance

141 Business Scenario ABC Company uses Third Party Risk Management to manage the contracts for their business partners. Some of the contracts may be concerning IT and others Facilities. Other contracts are for a mixture of reasons. Different groups are responsible for approving the contracts for IT or Facilities, but all the others are handled by a single team. ABC Company would prefer to use one Contracts workflow to correctly route their contracts to the correct Approval team members for their IT and their Facilities contracts. These contracts are assigned to different responsible parties: IT contracts are assigned to Jane Doe as the primary responsible party. Facilities contracts are assigned to Marco Lombard. All other contracts are assigned a different responsible parties but use the same approval team members. We will use the Single Reference Navigation rule to identify who these contracts need to be routed to by the employee found in the Primary Responsible Party field. Because approval notification messages are sent out as soon as the contract enters the approval step, we will need to create an Approval type step just for routing called Approval Routing. This is the step that we will add the navigation rule to and it will have no other purpose. We will configure the rule to send contracts to a particular workflow step that has those team members assigned on the Workflow Team Members tab. Because there are two possible values that would trigger the contract to go to a different approval team, we will need to add this rule twice to the Approval Routing type step, with different configurations: If the rule finds Jane Doe in the Primary Responsible Party field, it will send the contract to the approval step for IT contracts. If Jane is not in the field, it continues to the next instance of the rule. If the next instance of this rule finds Marco Lombard in the in the Primary Responsible Party field, it will send the contract to the approval step for Facilities contracts. If Marco is not in the field, then the approval route found in the step where these rules have been added will be followed, no matter who else is in the Primary Responsible Party field. All other primary responsible parties will be routed to the regular Pending Approval step that is selected as the Approval Routing step's destination workflow step. Before we can configure the rules, we need to add the two new Approval steps to the workflow and set up the appropriate approval team members. To demonstrate the process, we copied the default workflow template used for Contracts in the Third Party Risk Management module and used it as the base for a new workflow template called Contracts Workflow for Approvals Based on Resp Party. This template does not appear in your system by default. We are going to edit this new workflow template so it can be used for all new contracts. Workflow Templates in Compliance

142 Add Additional Approval Type Steps First we want to add our new steps and get them in the correct order in the workflow. We will not configure them at this point. 1. Go to Risk & Audit > Third Party Risk Management > Maintenance > Workflow Templates. 2. Click Select Division to specify the division where the template is stored. 3. Select the Contract workflow template type from the Type field. 4. Find the workflow template for in the Workflow Templates list. 5. Scroll down to the Workflow Steps list on the Modify Workflow Template page. 6. Find the existing Pending Approval type step and click Actions > Edit and do the following: a. Update the description of the step to indicate it is used to route all contracts a list of team members for approval that are not related to IT and Facilities. b. Make sure the team members on the Approval Route tab are still appropriate. c. Click Finish. 7. Copy the existing Pending Approval step twice to use as the base for the new Approval steps for IT and Facilities contracts. Tip: Copying the existing step keeps you from having to add all the notification messages and rules from scratch. You can edit these later. 8. Click New on the Workflow Steps list to add the new Approval Routing step to the workflow. 9. Select Approval for the Workflow Step Type and click Save and Return. 10. Find the new steps at the end of the Workflow Steps list and click Actions > Move Up to move them to be in the correct order in the workflow: 11. Move the new Approval step, move it after the last Collaboration step and before the existing Pending Approval step. 12. Move each Copy of Pending Approval steps to after the new Approval step and before the existing Pending Approval step. 13. Click Save. Configure the New Pending Approval Steps for Specific Contract Types 1. Find the first Copy of Pending Approval step in the Workflow Steps list and click Actions > Edit. Workflow Templates in Compliance

143 Tip: Because it is easier to configure the Approval Routing step (the first Approval step that follows Collaboration) after the other new approval steps are ready, we are skipping it for now. We will rename it and add the navigation rules in a later step. 2. Set up the new Pending Approval step to handle the contracts for Facilities. a. Enter Pending Facilities Contract Approval in the Name field on the Step Information tab of the Modify Workflow Template page. b. Edit the a description of the step, particularly adding the information that this step is for the approval of Facilities contracts. c. Select the appropriate steps the contract should advance to if approved or if rejected. d. Enter Pending Facilities Contract Approval in the Status Text field so that we can identify which contracts were being approved by which team. e. Click the Approval Request Message tab and make any necessary changes to the message for this type of contract. f. Click the Approval Route tab and add the appropriate team members to the Approval Team List for this type of contract. g. Review the Actions and Rules tabs to make sure no changes need to be made for this type of contract, but typically these should already be set up appropriately. Remember, this is not the step that needs the navigation rule. h. Click Finish. 3. Find the second Copy of Pending Approval step and click Actions > Edit, repeating previous step to make the appropriate updates for the Pending IT Contract Approval step. 4. Click Save. Configure the Approval Routing Step 1. Find the new Approval step in the Workflow Steps list and click Actions > Edit. 2. Enter Approval Routing in the Name field on the Step Information tab of the Modify Workflow Template page. 3. Enter information about the purpose of this step and the rule used to navigate contracts to other approval steps in the Description field. 4. Select Pending Approval in the Approved Workflow Step field to send the contract to if it doesn't contain any of the specific values found in the rules. 5. Enter Approval Routing in the Status Text field 6. Click the Approval Route tab 7. Select Auto Advance to Approved Step in the Auto Advance Option field. Workflow Templates in Compliance

144 8. Delete any entries in the Approval Team List. Typically this should be a token for the primary responsible party. 9. Click the Rules tab. 10. Scroll down the page to the Workflow Step Rules list and click Add Rule. 11. Find the Single Reference Navigation rule on the Catalog Rule Select page and click Select. 12. Click Select again because we need two versions of this rule for our specific values. 13. Click Close. 14. Find one of the rules you just added in the Workflow Step Rules list and click Actions > Edit and configure the rule. a. Select the Primary Responsible Party in the Field field. b. Click beside the Selected Value field and select the employee's name that is the primary responsible party for IT contracts, Doe, Jane. c. Select Pending IT Contract Approval in the Step to Start field. Tip: If you had tried to configure the rule when you first created this step, you might not have had the appropriate step to select for this field. d. Select the Step Start in the Execute Event field. e. Click Save and Return. Workflow Templates in Compliance

145 15. Repeat the previous step to configure the other rule to navigate Facilities contracts. a. Select the Primary Responsible Party in the Field field. b. Click beside the Selected Value field and select the employee's name that is the primary responsible party for IT contracts, Lomard, Marco. c. Select Pending Facilities Contract Approval in the Step to Start field. d. Select the Step Start in the Execute Event field. e. Click Save and Return and you should see both rules available in the list. Workflow Templates in Compliance

146 16. Click Finish on the Modify Workflow Template page. 17. Confirm that all the steps are in the correct order and the status text is accurate in the Workflow Steps list. 18. Click Save and Return on the Modify Workflow Template page. Implement Updated Template 1. On the Workflow Templates list, find the updated template and select Default to make this the template to be used for new contracts. 2. Communicate the updates that will make your automated workflow more granular to your teams. 3. After the updated workflow has been used for new contracts, the contracts that are waiting to be approved display on the Contract List as follows: Workflow Templates in Compliance

147 Related Topics Workflow Steps Workflow Templates in Compliance

148 Workflow Teams Workflow teams are used to specify which employees are involved in a particular step of a workflow. When you create a workflow template, you set up a collaborating team or approval team depending on the specific template. The team members set up on the workflow template level are typically those that are required to review and collaborate on all aspects of the object. Workflow Teams Tab for an Object There may be times when you need an additional employee to review and collaborate on only one or two aspects of the object. These employees are added on the Workflow Teams tab. It is important to note that employees cannot be added to active workflow steps. Notes: Workflow teams are only applicable to collaboration or approval step types. You cannot configure workflow teams for object templates because workflow is not supported for object templates. New employees, groups or tokens added to the workflow team in the workflow template will be automatically added to all objects that use the workflow template immediately, unless the object's Use Alternate Team option is selected. If the object's Use Alternate Team checkbox is selected, none of the new members are notified to start collaborating or approving. If you want a new member to collaborate or approve the object, then you will need to restart the step. This is because the workflow team members have to exist when the collaboration step starts in order to be asked to perform the work. The Workflow Teams tab enables you to view the teams established through the workflow template and make modifications as desired. You can add or remove employees, groups or tokens. You can also override a Dynamic Group's Membership. See topics on Groups in Maintenance for more information. Note: Information about the object the workflow team is associated with is displayed at the top of the tab. You may need to click to expand the fields to see the information. If a specific step does not have any team members, the step still starts but requires manual intervention to advance the workflow template to the next step, unless Auto Advance feature has been enabled. Alternatively, you can have a step with a team, but with the first member of the team not available to start the collaboration process. This situation also requires manual intervention. Workflow teams created at the object level are retained when new revisions of the object are created. The image below shows the Workflow Teams tab on a document in the Documents module. Workflow Templates in Compliance

149 Team Lists The lists on the Workflow Team tab display information about the members and permissions. The following are fields and options used with these lists. Some fields and options are available only for some lists. #: Order in which the members collaborate if the order selected was one at a time. Member Name: Name of the employee or group. Delegated To: Individual assigned to take action on the member's behalf. Member Type: Displays either employee or group based on which it is specified. Workflow Templates in Compliance