Import Manager Application in Compliance 360 Version 2018

Transcription

1 Import Manager Application in Compliance 360 Version 2018 Import Manager Application Overview 4 Enhanced Templates 4 Recommendations 5 Import Manager Application (IMA) Security 6 Imports 6 Application Updates 6 System Requirements for the Import Manager Application (IMA) 7 Directory Access 7 System Administrator 7 Employee 7 IP Address 7 Install the Import Manager Application (IMA) 8 Log into the IMA Console 9 Using Proxy Settings 9 Import Data via the Import Manager Application 12 Use the Import Manager Window 13 Import Manager Window Functions 14 Log In 14 Download Templates 14 Import Data 14 Change Console Settings 15 Exit IMA 15 Use the Command Prompt Window for IMA 16 Change the Console Settings 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. Import Manager Application in Compliance 360 1

2 Use the IMA Window to Change Settings 19 Use a Command Prompt Window to Change Settings 21 Download IMA Templates 22 Download an Enhanced Template 22 Download Legacy Template 23 File Locations and File Naming Conventions 24 File Locations 24 File Naming Conventions 25 Schedule Automatic Imports 27 Import Management Application FAQ 28 Understand IMA Window Buttons and Fields 33 Associated Files Location 33 Console Settings 33 Import Settings 34 Logging Settings 35 Login Settings 35 Misc. Settings 35 Option Settings 36 Status Settings 37 Create Missing Fields 37 Display Log 37 Explanation of Columns 37 Excel or XML Field with Data 37 Ignore Blank Values 38 Import 38 Import Options Field 38 Employee Legacy Import Exception 39 Select Key Fields Button 39 Key Field Storage 39 Select Update Fields Button 40 Validate Button 41 Understand the IMA Templates 42 Support 42 List of IMA Templates 42 Enhanced Templates 42 Legacy Templates 43 Design and Layout of the IMA Templates 44 Data Formatting Help 44 Critical Template Knowledge 44 Columns and Compliance Information Requested for IMA Templates 47 Print Worksheets 47 Creating an Employee Management Object 48 Displaying File Type Icons for Documents, Policies, and Attachments 49 Impact on IMA When Adding New Fields in Compliance Implications of Adding New Fields in Compliance 360 Modules 49 Import Manager Application in Compliance 360 2

3 Import Options Column 50 Enter Folder Names in Templates 51 Folder Settings 52 Use IMA to Create an Object in the Root Folder 53 IMA Template Best Practices 53 Employee Imports 55 Employee Data Management (EDM) Scenarios 55 Scenario 1 - Adding Employees and Users the First Time 56 Scenario 2 - Adding Employee Relationships 69 Scenario 3 - Updating Employee and User Profile Information 72 Scenario 4 - Updating Employee Records 84 Scenario 5 - Deactivating Employees and Users 97 Import Manager Application in Compliance 360 3

4 Import Manager Application Overview The Import Manager Application (IMA) enables you to import data into Compliance 360 using XLSX or XML templates. Both of these file types may be opened and managed in Microsoft Excel. Templates are helpful if your organization has numerous records to enter initially or on a regular basis. For example, if your organization has constant changes to the s list, through hiring, departures, promotions, etc., you may find it easier to import the information through the IMA rather than having an manually input the information through the Employees section of the Maintenance module. To use IMA, you need to download and install the application from the Imports section of the Maintenance module. After IMA is installed, you can perform the operations through the Import Manager window, a graphical user interface, or through a Command Prompt window. The Import Manager window is a graphical user interface that enables you to select options from dropdown lists and selection buttons. Through the Import Manager window, you can download templates, enter data, and then import into the Compliance 360 application. The Command Prompt window enables you to enter your options outside the graphic interface using a command prompt. The template files are pre-filled with column headings which relate to fields within the application. The columns in the templates contain field help describing the purpose of the field, maximum number of characters and other information. Required fields are shown in red. Print sheets are also available in the template for printing the column descriptions and help information. For example, download the Employee Management template to enter data which needs to be imported in to the Employee Management section of the Maintenance module. After you download a template, enter the data information in the file, and then import it in to the Compliance 360 application. Enhanced Templates Some modules contain powerful configuration features that open up new IMA capabilities. Modules that allow this level of customer configuration are supported by IMA's enhanced templates. All of these templates are XML files. Expanded capabilities include: Including new fields added in the modules that are integrated with Forms Configuration. Adding or updating a row in a template. Import Manager Application in Compliance 360 4

5 Using a row as a reference so that one object can be related to another object that already exists in the system. Updating values present in the template without wiping out existing data in the system that is not present in the template. Recommendations Compliance 360 recommends using IMA for importing new records as opposed to updating records. While IMA can be used for both new and updates, when you update information you need to enter not only the information in the fields that are changing, but for also match existing information for required fields even if they are not changing. For example: You want to import changes to s using the Employee Management Template. One 's last name changed due to marriage, and it requires the Last Name and Address fields to be changed. Enter these changes on the template. Even though the 's division did not change, since the Division field is required, you need to enter the exact same existing divisions and sub-divisions of the original record. On updates, since you have to match the information that is in the application, it can be more time consuming to use the IMA templates to import the changes. When you need to update the information, we recommend you make the changes in the application or use the API Manager rather than using IMA. After performing an import, it may take a few minutes (this will vary) to see newly created data when thecreate Missing Fields check box is marked. Import Manager Application in Compliance 360 5

6 Import Manager Application (IMA) Security Imports When you perform an import, the system looks to see if you have access to the module. If you don't have access, when you validate the file, you are notified that the object cannot be created due to lack of module access. Application Updates You must have administrator permission to the Compliance 360 folder on your computer to allow automatic application updates. For more information, refer to the System Requirements for the Import Manager Application topic in the Import Manager Application section of Online Help. Import Manager Application in Compliance 360 6

7 System Requirements for the Import Manager Application (IMA) Before you download the Import Manager Application (IMA) installation file, ensure you comply with the system requirements found in the Getting Started section of Online Help. Caution: If you have Microsoft Office 32-bit on a 64-bit operating system, you will need to download and install Microsoft Access Database Engine 2010 Redist X64 found at Alternatively, you can upgrade Microsoft Office to the 64-bit version. Directory Access System Administrator You must have Windows administrator permission on the computer you use for the download. Employee After the download is complete, the user must have administrator permission to the Compliance 360 directory where the application is installed to receive automatic updates. For instance, if IMA was installed in the Program Files (x86) directory, the user must have administrator permission to C:\Program Files (x86)\compliance 360. IP Address IMA adheres to settings made in Maintenance > Security > Security Policies. Clients using IMA where the security policies have been set up must access IMA within the IP address range set up. See Security Policies Overview for additional information. Import Manager Application in Compliance 360 7

8 Install the Import Manager Application (IMA) To use the Import Manager Application (IMA), you need to download the installation file from the Compliance 360 application, and then install the program. Before you download IMA, you must comply with the requirements specified in thesystem Requirements for the Import Manager Application (IMA) topic. 1. Go to Maintenance > Imports > Imports. 2. On the Import Manager page, click the here link and follow the prompts. Import Manager Application in Compliance 360 8

9 Log into the IMA Console If you do not know your login information, contact your Compliance 360 system administrator. You cannot use Single Sign-On to access this application. The Import Manager does not use the user credentials passed from your name directory server by Single Sign-On. to log into this application, you must supply the Compliance 360 Organization Name, your user name, and your password. You can continue to use Single Sign-On to access the Compliance 360 application. 1. Select Start > Programs >Compliance 360. Note: If you have an IMA Application shortcut on your computer desktop, double-click the icon to open the IMA Console. 2. Select Compliance 360 Import Manager. 3. Enter your login organization name in the Organization field. 4. Enter your login name in the User Name field. 5. Enter your password in the Password field. 6. Click Proxy Settings if necessary. If your login window does not display the Proxy Settings button, you need to download and install the latest version of IMA. 7. Click OK. Using Proxy Settings A proxy server acts as an intermediary between a workstation user and the Internet to ensure security, administrative control, and caching service. A proxy server is set up by your IT Department or home network administrator. Import Manager Application in Compliance 360 9

10 The Proxy Settings have to be set each time you use IMA at a location where proxy settings are required. For example, most Internet connections at a home location do not require proxy authentication. Also, most Internet connections at work locations do not require proxy authentication. Only some work locations require proxy authentication. Notes: If your login window does not display the Proxy Setting button, you need to download and install the latest version of IMA. If the location where you are logging into IMA does not require signing in with a proxy server, you do not need to click Proxy Settings. The default option for Proxy Settings is Do Not Use Proxy. Typically, most users would not need to use Proxy Settings. 1. Click Proxy Settings. The Proxy Settings window is displayed. 2. Select one of the Proxy Setting options: Do Not Use Proxy - This is the default option. Typically, most users would not need to use proxy settings. Use Default Proxy Settings - Select this option to use the default proxy settings. These are defined in your internet browser, such as Internet Explorer or Firefox. Your IT Department may set up the proxy information when setting up the internet access for the computer, or if not, it can be added at any time. Import Manager Application in Compliance

11 Use Current User Credentials - If you use the default proxy settings, this check box is available. Select this check box if your default proxy settings require authentication using your current logged in credentials. Contact your IT Department for additional information if necessary. Specify Proxy Settings - Use this option if you need to log in to the proxy server. For this option, you need to know your proxy settings. Contact your IT Department for additional information if necessary. If these proxy settings are entered, they are stored by the system for the computer profile that is used. For example, if your computer user name is User1, when you provide the following fields, this information is remembered for User1 regardless of the computer you are using to log in. You can log into the computer on the first floor and later on the second floor. Each time, your entered information is remembered as long as you log into the computer as User1. Note: The Username, Domain, and Proxy Requires Password fields are optional and are determined based upon how your proxy server is configured. Some proxy servers might require just the user name, while others might require the user name and domain, etc. o o o o o Proxy Address - Enter the port address for the proxy server. This is a required field. Port - Enter the port number for the proxy server. This is a required field. Username - Enter your user name. Domain - Enter the domain for the proxy server. Proxy Requires Password - Select this field if the proxy requires the use of a password. If this field is selected, a window is displayed for entering the proxy password. After you log into the proxy server, use the IMA window to perform your functions. Import Manager Application in Compliance

12 Import Data via the Import Manager Application After you Download IMA Templates, you can enter data in the Excel worksheet with the information you want to import into the Compliance 360 database. You can import the Excel worksheet using through the IMA window or through a Command prompt window. This procedure assumes you are using the IMA window. Note: If you want to import, at a minimum you have to type in /I in the command line tool regardless of what you set the Import /I field in the Console tool. 1. Log into the IMA Console. The Import Manager window is displayed. 2. In the Excel or XML File with Data field, locate the file to import. 3. Select an option from the Import Options drop-down list. Note: The Import Options field is available only for the legacy templates. Enhanced templates provide a column on the spreadsheet for this information. 4. In the Associated Files location field, locate the directory where the folder of files associated with objects being imported can be found. 5. Click Select Key Fields to be used for an import, if available and needed. 6. Select Ignore Blank Values, if needed, 7. Select Create Missing Fields field, if necessary, and select the appropriate option. 8. Click Validate. 9. When the file passes validation, click Import. 10. When the import completes, click Display Log to view the details and validation information about the import. 11. Click Exit. Import Manager Application in Compliance

13 Use the Import Manager Window With the Import Manager (IMA) window, you can download the Excel templates, upload the completed Excel worksheets, set importing options, view the console settings and more. Balloon help is available for the fields and buttons on the IMA window. When you place your mouse on a field or button heading, a balloon is displayed with an explanation of the field. In addition, You can also use a Windows Command window to upload completed Excel worksheets, set importing options, and more. Default switch values are set for the command line tool using the Console Settings button in the Import Manager window interface. You can also schedule the import to run automatically. Import Manager Application in Compliance

14 Import Manager Window Functions With the Import Manager window, you can perform the following functions. Log In Log into the Import Manager Window - The Import Manager window is displayed. Open the Import Manager window. The typical path is Start > Programs > Compliance 360 > Compliance 360 Import Manger. Notes: You cannot use Single Sign-On to access this application. The Import Manager does not use the user credentials passed from your name directory server by Single Sign-On. To log into this application, you must supply the Compliance 360 Organization Name, your user name, and your password. You can continue to use Single Sign-On to access the Compliance 360 application. Each time you open the IMA, it automatically checks for application updates. If updates are available, a message is displayed. Click Yes on the display message and follow the on-screen instructions. Download Templates Download Templates - Use the following field and button to download Excel templates to your computer: Import Type - a drop-down list of the modules available for data import. This drop-down list is used with the Download Excel Template button. The options that display are based upon your organization s modules. Download Template - download an Excel Template for the selected module. A file download window is displayed, enabling you to open or save the template. Import Data Import Data via the Import Manager Application - Use the following fields and buttons to import data into the Compliance 360 database: Excel or XML Field with Data Associated Files location Import Options Field Select Key Fields Ignore Blank Values Create Missing Fields Validate Button Import Display Log Select Update Fields Button Import Manager Application in Compliance

15 Change Console Settings Change the Console Settings - Use the Console Settings button to change the default switch values used when importing data from the Windows command line interface for IMA.. Exit IMA Click Exit to close IMA. Import Manager Application in Compliance

16 Use the Command Prompt Window for IMA You can use a Command Prompt window to perform functions for the Import Manager Application. You can upload the completed Excel worksheets, set importing options, view the console settings and more. The command line interface is useful when you want to automate the import process because the execution of an import can be scheduled and executed unattended. Note: You can use an Import Manager graphic interface window to perform these functions. The Import Manager window also enables you to download the Excel templates for entering data to upload into the system. 1. Open a Command Prompt window. Tip: You can search for the command window by typing cmd in the search field for the Start menu. 2. Set the working directory to the folder that contains the importmanager.exe executable. For example:"c:\program Files (86(\Compliance 360\Import Manager". 3. Enter the execute command importmanager and then continue to the next steps to add the required parameters. 4. Set the Login Organization by using /O=, the Login User ID by using /U=, \ and the Login Password by using /P=. Import Manager Application in Compliance

17 For example: /O=yourorgname /U=c360user /P=yourpassword Note: You cannot use Single Sign-On to access this application. The Import Manager does not use the user credentials passed from your name directory server by Single Sign-On. To log into this application, you must supply the Compliance 360 Organization Name, your user name, and your password. You can continue to use Single Sign-On to access the Compliance 360 application. 5. Set the console switch values you want for the import. For example: importmanager /O=yourorgname /U=c360user /P=yourpassword /D="C:\Documents\Imports\Employee\DataFile" /F="EmployeeManagement_Template.xml" /I Tips: Use the code letter indicated by the slash to make the changes to the default console settings. For example, use /D= to enter the Data File Directory, such as /D="C:\Documents\Imports\Employee\DataFile" If you want to import, at a minimum you have to enter /I in the command line regardless of what you set Import /I in the Console Settings window. When using the command line for option settings that have multiple selections (/E - Record Update Behavior, /K - Lookup Create Behavior), enter the one word value that corresponds to the option. For example, add /K=Division to always create lookup values in item division. When using the command line for switches that indicate Yes or No (/C - Create Missing Properties, /S - Show Log File Path, /B - Show Progress, /V - Validate Only, /I - Perform Import, /R - Display Result Code, and /W - Pause When Done), do one of the following: o o To use an option, add the switch with nothing after it. For example, add /C to your command line. Do NOT use /C=yes or /C=true. To NOT use an option, do one of the following: o o Do not include it in the command line. For example, do not include /C in the command line at all. Use a - (dash or minus sign) after the switch. For example, use /C-. Do NOT use /C=no, or /C=false Import Manager Application in Compliance

18 6. Click Enter to execute the commands. Related Topics Schedule Automatic Imports Import Manager Application in Compliance

19 Change the Console Settings The Console Settings specify the parameters that control how the Import Manager Application (IMA) operates. These switches can be changed using through the IMA window or through a Command Prompt window. Use the IMA Window to Change Settings 1. Log into the IMA Console. The Import Manager window is displayed. 2. Click Console Settings. 3. Select a sorting option on the Console Import Settings window. a. Categorized Icon - sorts the settings by Category, such as Import Settings, Logging, Login, Misc, etc. b. Alphabetized Icon - sorts the settings alphabetically regardless of their category. If this icon is selected, the Category Names are not included. Import Manager Application in Compliance

20 4. In the left column, locate the setting you want to change, and in the right column, click in the field and enter your change. Types of fields are: Text Entry - enables you to type the information for the setting. Some of these fields include Login Organization, Login Password, and Login Name. Import Manager Application in Compliance

21 Browse and Open - enables you to locate a file location. Some of these fields include Data File Path, Destination Directory, Log File Path, etc. Drop-Down Lists - enables you select an option from a drop-down list. Some of these fields include File Extension, Record Update Behavior, Show Progress, etc. 5. After all changes are made, click OK and return to the IMA window is redisplayed. Use a Command Prompt Window to Change Settings Follow the procedures found in Use the Command Prompt Window for IMA to change the console settings using the command prompt. Related Topics Use the Import Manager Window Import Manager Application in Compliance

22 Download IMA Templates With the Import Manager Application (IMA), you can download Excel templates for the Compliance 360 modules, and use these templates to enter data from your organization s database that you want to import into the Compliance 360 database. For example: Download the Employee Management Template to enter names, addresses, phone numbers and other information. Download the Internal Audit Template to enter audit area numbers, types, descriptions, primary business areas and other internal audit information. Download the Third Party Risk Management Template to enter business partner IDs, federal tax numbers, phone numbers, addresses and other TPRM information. Download an Enhanced Template 1. Log into the IMA Console. The Import Manager Console is displayed. 2. Select an option from the Import Type drop-down list. For modules that have been upgraded to contain module types, the module name and the module type name will be displayed. The Import Type options correspond to the Compliance 360 modules, such as Claims Auditor, Documents, Incidents, Internal Audit, etc. 3. Click Download Excel Template. A File Download window is displayed. For the Incidents and Privacy Breaches modules, the type-specific template generated by IMA will only contain the fields tagged to the type. The order of the fields in the type-specific template generated by IMA are determined by the order of Fields in the Component Field grid for the object. 4. Click one of the following: Open - Opens Microsoft Excel with the template. After it opens, enter data in the fields, save it on your computer, and then use it for importing. Save - Opens a Save As window for you to select the location for saving the template. After the file is saved, open it, enter data in the fields, save the updated file, and then use it for importing. Note: Save the templates in a file location such as a local or network folder. For example: C:\Program Files\Compliance 360\Import Manager\Templates folder. 5. Optionally, mark the Ignore Blank Fields check box to not overwrite any existing values stored in the database with any blank values that are present in the template. 6. Validate your template by clicking the Validate button. 7. Click Import to import the data into the database, if the template has no errors. Refer to IMA Enhanced Template for more information. Import Manager Application in Compliance

23 Download Legacy Template 1. Log into the IMA Console. The Import Manager Console is displayed. 2. Select an option from the Import Type drop-down list. The Import Type options correspond to the Compliance 360 modules, such as Claims Auditor, Documents, Incidents, Internal Audit, etc. 3. Click Download Excel Template. A File Download window is displayed. 4. Click one of the following: Open - Opens Microsoft Excel with the template. After it opens, enter data in the fields, save it on your computer, and then use it for importing. Save - Opens a Save As window for you to select the location for saving the template. After the file is saved, open it, enter data in the fields, save the updated file, and then use it for importing. Note: Save the templates in a file location such as a local or network folder. For example: C:\Program Files\Compliance 360\Import Manager\Templates folder. Once a template is downloaded, you can enter the data information in the columns. 5. Optionally, click the ellipsis button to choose a MS Excel or XML file that has data already filled in. 6. Use the updated file to import the information into the Compliance 360 database. 7. Choose Import Options for your data. 8. Validate your template by clicking the Validate button. 9. Click Import is the template has no errors to import the data into the database. Import Manager Application in Compliance

24 File Locations and File Naming Conventions File Locations When you use the Import Manager Application, there are several different files involved in the process, and you might want to set up a file folder structure to keep these organized. You can store the files on a local or network drive, or a combination of both, depending on your needs. Type of File Installation File IMA Program Excel Template Files Considerations In the Compliance 360 application Maintenance > Imports menu, when you click Here, the installation setup program is displayed. You can save or run the file. There is no significant need to save the installation file. Typically, you should use run and immediately download the installation file and begin the installation. When you install the IMA program, in the Destination Folder step, the installation defaults to C:\Program Files\Compliance 360\Import Manager. While you can change this location, this is typical and should not be changed. In IMA, click Download Excel Template to download the Excel templates. You can save these files on a local drive or network drive depending on your organization s needs. You can create a folder named Templates and create subfolders for the different templates you might download. When selecting a location for these files, consider which s populate the template, and which s perform the import. Select a location that is accessible to s performing these different roles. Excel Template Data Files When you are ready to import data into the Compliance 360 database, open one of the templates to enter the information. After you enter the information, save the file. You should have a file folder for these completed template files. You might want to create a folder named Data Files or other name that is meaningful for you. You can also create subfolders for the different data files you might upload. When selecting a location for these files, consider which s populate the template, and which s perform the import. Select a location that is accessible to s performing these different roles. Import Manager Application in Compliance

25 Type of File Associated Files (for example: Attachments) Considerations In the templates, you can identify files, such as attachments, to be associated with an object. Store these files in a single folder. Specify this folder in the Associated Files Location field in the IMA application. Tip: Create subfolders for different modules, and change the folder specification in the Associated Files Location field as necessary. Import Log Files When you import templates, the application might generate a log file with information about the records being imported. While you do not have to save these files, you might find it useful to save the files for later reference. The log files are generated in a.csv format. When selecting a location for these files, consider the s who might need access to these files. You might want to save them in the same folder as the Excel Template Data Files so you have the data files and log files in the same location. File Naming Conventions When you save templates with the information you want to import (referenced above as Excel Template Data Files), consider what file names you give these files. You might want to use an identifying range of names or numbers. Some examples: Excel Employee Template Data Files Emp A to D.xls Emp E to K.xls Emp L to N.xls Excel Policy Template Data Files Policies 1001 to 2000.xls Policies 2001 to 3000.xls Policies 3001 to 4000.xls If you are saving the log files from the imported records, you might use a naming convention similar to the data file name. You might even want to save the log files in the same folder as the data files. Some examples: Employee Import Log Files Emp A to D.csv Emp E to K.csv Emp L to N.csv Policy Import Log Files Policies 1001 to 2000.csv Import Manager Application in Compliance

26 Policies 2001 to 3000.csv Policies 3001 to 4000.csv You could also consider using a date in the file name to indicate when the file was created or imported. Use a date format that fits your needs. Some examples: Employee Import Log Files Emp A to D csv Emp E to K csv Emp L to N csv Policy Import Log Files Policies 1001 to 2000 April csv Policies 2001 to 3000 April csv Policies 3001 to April 20.csv Import Manager Application in Compliance

27 Schedule Automatic Imports You can schedule the Import Manager Application (IMA) to run on a regular basis using any scheduling application. Before setting up the schedule, you should verify that IMA has the correct information for importing. For example: 1) Is the data file in the location identified in the Excel file with Data field?; and 2) Are the associated files in the Associated Files Location folder? 1. Go to the default location for the Windows Task Scheduler is Start > All Programs > Accessories > System Tools > Task Scheduler. This opens the Task Scheduler window. 2. Set up your scheduled tasks. If you need assistance, in the Task Scheduler window, click Help > Help Topics. Import Manager Application in Compliance

28 Import Management Application FAQ This section provides the answers to some frequently asked questions about the Import Manager Application. Why can t I install the Import Manager Application? While there might be several reasons you cannot install IMA, the most typical reason is that you do not have the appropriate permission rights for installing the application on the computer you are using. Contact your organization s IT Department for permission rights. See Install the Import Manager Application (IMA) for more information. Where should I download the installation file for the Import Manager Application? In the Compliance 360 > Maintenance > Imports menu item, when you click the Here link to download IMA, a File Download window is displayed. You have the choice to save the installation file for later installation or to actually run the installation program. If you choose to save the installation file for later installation, click Save and a Save As window is displayed. Select the location on your computer where to store the installation file. Typically, save it to your desktop or download folder for easily finding it when you are ready to install IMA. If you choose to run the installation file, the IMA is installed. During the installation, you can specify the location of the program. The default location is C:\Program Files\Compliance 360\Import Manager. See File Locations and File Naming Conventions for more information. How do I find the IMA program to use it? When you install IMA, the installation process automatically creates shortcuts to the application on your computer desktop and the Start/Programs menu. Use either of these shortcuts to open the IMA program. See Use the Import Manager Window for more information. What module access do I need to use the Import Manager Application? To use the IMA, you need module access to the modules being used for import. For example, you can access the Import Manager Application, but if you will import data into the Claims Auditor module, you need module access to Claims Auditor. Users should have administrator access to use the Import Manager application. Does the operating system and Microsoft Office software use 32 or 64-bit versions? To run IMA, your operating system and Microsoft Office software must both use either 32-bit versions or 64-bit versions. IMA does not function properly if you have mixed versions where the operating system is 64-bit and Microsoft Office is 32-bit or vice versa. Import Manager Application in Compliance

29 Where should I download the Excel data templates for the Import Manager Application? In the Import Manager Application, when you click Download Excel Template, a File Download window is displayed. You have the choice to open the template to begin using it or save the template for later use. If you choose to open the template, the Microsoft Excel program opens with the template file. After it opens, enter data in the fields, save it on your computer, and then use it for importing. You might want to save these files on a local or network drive in a folder you specifically select for storing templates with your import data. If you choose to save the template, a Save As window opens for you to select the location for saving the template. After the file is saved, open it, enter data in the fields, save the updated file, and then use it for importing. You might want to save the templates on a local or network drive in folder you specifically select for storing the templates. Once you enter information in a template, save the file in a folder you specifically select for storing templates with your import data. See File Locations and File Naming Conventions for more information. What are (P) tabs in the template for? (P) tabs are considered to be print pages, and they contain help for the template. You may want to print these pages for quick reference. Do I have to include the path in the column where the file name is needed? In templates that ask for file names, only the file name and the extension are allowed. Spelling, white space and punctuation must be exact. It is important to remember that path information in this column is not permitted. The path is specified in the Associated Files field of the IMA console. During the import process, the following error message is displayed on the console: Problem opening tab in file. What does this mean? Typically this indicates that one of the tab names in the Excel file you are importing contains a tab name which is not specified in the template. Perhaps the tab had been removed from the template or renamed. Compare the tab names from the template to your import file to find the incorrect tab and correct it. This message can be displayed if the file you are importing is currently open. Close the file and attempt the import again. You can receive this message if the Module to Import field conflicts with the Excel File with Data field. See Use the Import Manager Window for more information. This message may also appear when the Excel version is not correct, usually an.xlsx file. To resolve the issue, save the file as the same version of Excel that you have on the workstation performing the import. Import Manager Application in Compliance

30 When I validate a file I want to import, I do not receive any error messages. However, during the import process, there are errors. How does this happen? The validation process only validates the information in the import file for format, required fields, number of characters, etc. It does not reference the database. During the import process, the data is validated against the Compliance 360 database where errors can be encountered. For example, the import file might contain an relationship. During the validation process, as long as the relationship name fits the validation for number of characters and contents for the column, it passes validation. During the import process and validation against the database, if the identified for the relationship does not exist, an error is displayed. What should I do if I receive the "C:\Documents and Settings\somefile.pdf cannot be located in the specified path" error? The file name has an error in it or does not match the file in the specified folder. To resolve this issue, ensure the file name and extension are correct. Make sure the file path is correct. Verify that the file exists in the specified directory. What happens if I am receiving multiple errors? Troubleshoot the errors in the parent tabs before the child tabs. Start at the top of the error list and work your way down. After fixing a parent issue, try the file again to remove any residual errors. Check to make sure you are using the latest template. Ensure your operating system and Microsoft Office match. They should be 64 bit or 32 bit. Can I delete or move columns on the spreadsheet? No. Never add, move, or delete fields. What happens if.com is not included as part of the address? The does not import. What is the default timeout setting? The default timeout setting is one hour. Compliance 360 support can increase this upon request. What happens if I do not select a key field? You must select a key field for all modules built on foundation architecture. If you do not have one selected, new items are created. What is the difference between importing information using the CSV templates used previously and importing with the Import Manager Application? Importing with the CVS templates works well for some of the smaller modules and with limited information. As the Compliance 360 application is upgraded with new features, many organizations Import Manager Application in Compliance

31 need to import additional information as well as attachments, tasks, and more. The IMA templates provide this additional functionality. Can I use my older CSV templates for importing with the Import Manager Application? No. The IMA templates have additional columns, some of which are required. The IMA validates the import files for expected information. When a module is upgraded, you will be notified if a new IMA template is required. If you make any modifications using Forms Configuration, you must download a new template. Do any files have to be zipped? No. There is no need to zip any files. IMA does not use any zip files. I need to import attachment files. Where should these files be located? If you are importing data which have associated files, such as attachments, they must be stored in the same folder. If there are associated files that are not stored in the Associated Files Location field, you will receive an error. See File Locations for more information. Do I need to use the Import Manager Application UI if I am using IMA in console mode? No, when using IMA in console mode, no user interface is displayed to the user. IMA is executed from a command prompt and utilizes switches to control its behavior. My organization uses the Single Sign-On feature for accessing the Compliance 360 application. Does Single Sign-On work with the Import Manager Application? No. IMA does not use the user credentials passed from your name directory server by Single Sign-On. To log into IMA, you must supply the Compliance 360 Organization Name, your user name, and your password. You can continue to use Single Sign-On to access the Compliance 360 application. What is the difference between the Import Options in the Import Manager Application? View the Import Options Field topic. Note: When you import with the Employee Legacy Template, the Import Options are not used. When you import with the Employee Management Template, the Import Options are used. Can I load attachments to existing items? If the template you are using has a column for attachment information, you can import attachments to existing items. Import Manager Application in Compliance

32 Should I put the newer templates and data files in the same folder as my old.csv files? While there are not restrictions on your using the same folder for your older templates and.csv files, it might cause confusion for those that use or review the files. You should create separate folders for the IMA templates and your data files. See File Locations for more information. What do I do with my old folders and.csv files? While there are no hard and fast rules, you could either archive them or rename the folders to indicate they are the former (or older, previous) templates and data files so it lessens the chance of their being used with the IMA. What version of Excel should I use for the Import Manager Application? The Excel templates are formatted for Office If you use an earlier version of Office, visit to download the Microsoft Office Compatibility Pack for Word, Excel, and PowerPoint 2007 File Formats. Can I schedule IMA to run on a regular basis? Yes. You can use any scheduling software. Windows includes a Task Scheduler. See Use the Import Manager Window for more information. What happens when a User Name is changed? Sometimes an existing s user name needs to be changed. Update the Login Name field on the IMA template used to import information by default on the Employee Management or Employees (Legacy) template. Use UA or U in the Import Options field and the new user name in the Login Name field. Use the U Import Option to update an existing user s name. While the Password field is required when the user name is entered, the application never updates an existing user's password based on an IMA import. Complete the Password field with a dummy entry just so the template validates when importing. See Import Options Column for more information. How do I update passwords? Passwords can be entered when using the A or UA import option to add a new. While the Password field is required when the user name is entered, the application never updates for an existing user based on an IMA import. Passwords must be changed by a system administrator in the Compliance 360 application itself. See Import Options Column for more information. Import Manager Application in Compliance

33 Understand IMA Window Buttons and Fields The following topics provide more detailed information about the buttons and fields on the IMA Window. The information is also useful when editing the console settings. Associated Files Location In the templates, you can identify files, such as attachments, to be associated with an object. Store these files in a single folder. 1. Click beside Associated Files location to locate the directory where folder of files associated with objects being imported can be found 2. A Browse for Folder window is displayed to allow you to locate and select the location of the folder. Console Settings Console import settings are used during the validation and import process. They are the values used unless overridden by the user on the Import Manager window or from the Command Prompt window when executing the import. You can view and maintain these settings in the Import Manager window. The settings can be sorted by category ( ) or alphabetically ( ). In the following example, the settings are sorted by category Import Manager Application in Compliance

34 Import Settings Name Field Type Description Data File Directory /D= Browse and Open Identifies the directory location of the data file for importing. Import Manager Application in Compliance

35 Name Field Type Description Data File Path /F= Destination Directory /T= Browse and Open Browse and Open Identifies the file path for the associated files folder. Identifies the directory location of the Compliance 360 database. File Extension /X= Text Indicates if the Excel file has an.xls or. Import /I Drop-Down List Select Yes or No for importing. The file will be validated before it is imported. Import Module Type /M= Drop-Down List Select the module for importing data. Upload Directory /G= Browse and Open Identifies the directory location for the Compliance 360 database. Validate Only /V Drop-Down List Select Yes to validate without importing the file. Logging Settings Name Field Type Description Log File Path /L= Browse and Open Indicates the location of the log file. Show Log File Path /S Drop-Down List Select Yes or No to have the location of the log file displayed on the Windows Command window. Login Settings Name Field Type Description Login Organization /O= Text Identifies the login organization name. Login User Name /U= Text Identifies the login user name. Login Password /P= Text Identifies the login password. Misc. Settings Name Field Type Description Delete (Confirmation to Delete) /Z Drop-Down List Select Yes or No to have the Windows Command window require confirmation before deleting. Ignore Blank Values /N Drop-Down List Available option for some imports. Select Yes to indicate the system should ignore blank values during the import. Import Manager Application in Compliance

36 Name Field Type Description Pause When Done /W Drop-Down List Select Yes or No to have the Windows Command window pause when the validation or import completes. Option Settings Name Field Type Description Create Missing Properties /C Drop-Down List Select Yes or No to have missing fields created. Use this option to enable the import to create information for fields that are in the Excel data file but are not found in the Compliance 360 database. The fields can be created for the Division, Folder and Lookup Values. If this is checked, a drop-down list is displayed. Available options are: Always Create Lookup Values in Global Division if the Division is Not Hiding Them Always Create Lookup Values in Item Division Lookup Create Behavior /K= Drop-Down List Select Global or Division for creating missing properties. Use this option to enable the import to create information for fields that are in the Excel data file but are not found in the Compliance 360 database. The fields can be created for the Division, Folder and Lookup Values. If this is checked, a drop-down list is displayed. Available options are: Always Create Lookup Values in Global Division if the Division is Not Hiding Them Always Create Lookup Values in Item Division Record Update Behavior /E= Drop-Down List Select Ignore, Keep, or Overwrite for the record behavior. Imports the data identified in the Excel File with Data field. The application validates the data file against the database records. Additional validation errors can occur during import. Import Manager Application in Compliance

37 Status Settings Name Field Type Description Display Result Code /R Drop-Down List Select Yes or No for displaying the results of the import in the Windows Command window. Show Progress /B Drop-Down List Select Yes or No for displaying the status of the validation or import process in the Windows Command window. Create Missing Fields Use the Create Missing Fields check box to enable the import to create information for fields that are in the Excel data file but are not found in the Compliance 360 database. The fields can be created for the Division, Folder and Lookup Values. If this is checked, a drop-down list is displayed. Available options are: Always Create Lookup Values in Global Division if the Division is Not Hiding Them Always Create Lookup Values in Item Division Display Log Use the Display Log button to view the display log for the most recent import. The log displays information about the records imported and any validation error messages. Additionally, the log displays how many records were added, updated or skipped. Skipped records occur when the import attempted to update a non-existent record. The Export Log button allows you to export the log to a CSV file for analysis or historical record keeping. Explanation of Columns Tab: Shows the worksheet tab for the record #: Refers to the Excel row number for the record. Messages: Displays the error text Excel or XML Field with Data 1. Click beside Excel or XML Field with Data to select the Excel file with your import data. 2. An Open window is displayed. Use the drop-down lists to locate the file to import. Import Manager Application in Compliance

38 The import file must relate to the module in the Module to Import drop-down list. For example, if the Module for Import is Documents, the import file must be the Documents Excel file. If the module and file do not correspond, an error message is displayed during the import process. Ignore Blank Values Use the Ignore Blank Values check box to prevent blank fields on the spreadsheet from overwriting existing field data in Compliance 360 during the import process. This field is available only for enhanced templates. It is not available for legacy templates, including legacy templates for Employees and Employee Relationships. See List of IMA Templates to identify the templates. See additional information about how blank values can affect status in the Employee Import Key Considerations topic. Import The Import button imports the data identified in the Excel File with Data field. The application validates the data file against the database records. Additional validation errors can occur during import. Import Options Field The Import Options field allows you to indicate what action you want taken if there are existing records. The Import Options field is available only for IMA Legacy templates. If you are using an enhanced template for modules built on foundation architecture, refer to theimport Options Column. The Import Options field has the following import options: Ignore Existing Records - If the template contains a record that matches an existing record in the Compliance 360 database, the existing record is not updated and the template record is imported as a duplicate. If no matching existing record exists, a new record is created in the database, containing the data in the template record. For example, a Policy template is imported and contains a record for Policy Number The Compliance 360 database already contains a record for Policy Number During the import process, a duplicate record for Policy Number is created. Keep Existing Records Without Change - If the template contains a record that matches an existing record in the Compliance 360 database, no change is made to the existing record. However, new related data, such as attachments and comments, are updated. For example, a Policy template is imported and contains a record for Policy Number The Compliance 360 database already contains a record for Policy Number During the import process, no change is made to the existing record. However, since the template record contains an attachment that does not exist in the database record, the attachment is added to the database record. Overwrite Existing Records with New - If the template contains data for a record that matches an existing record in the Compliance 360 database, the entire existing record is replaced with the template record. Import Manager Application in Compliance

39 Unpopulated fields in the template record are then unpopulated in the database record, and related data, such as attachments and comments, are replaced with the data in the template record. For example, a Policy template is imported and contains a record for Policy Number The Compliance 360 database already contains a record for Policy Number During the import process, the database record is erased and replaced with the template record. Employee Legacy Import Exception If you are using the Employees Legacy import, these import options are ignored. The Employee import does not produce duplicate records or overwrite existing records. This import creates new records if no existing record is found, and updates existing records only with data specified in the template. It does not overwrite existing data if the template field is not populated. Example An Employee Legacy template is imported and contains a record for John Smith with ID number The template contains John's new phone number. John's address has not changed and the template's Address field is unpopulated. The Compliance 360 database already contains an record for John Smith with a matching ID number, During the import process, the Phone field is updated. The Address is not updated. Note: If you are using the Employee Management import, these import options are used. Select Key Fields Button Modules built on foundation architecture enable you to select key fields to be used for an import. The selected field(s) contains unique data that identifies a record from all the other records in the system. The data is used to identify and update existing records during the import. If you do not have a key field selected, the system creates all new items. Key Field Storage The Select Key Fields values are stored as part of your domain user account on the computer where you execute IMA from. They are not specific to the login organization or to the login account name that you use when you log into IMA. The values are not stored in the database. This means when you change key fields, those fields are used for any database/organization you subsequently log into. Example 1: Interactive IMA use with the same domain account 1. Login as billken0 on your computer and then log into the train07 database. Select FirstName and 2. Now log into the train08 database and set Number as the key field for the import. Do the import and log out. 3. Login to train07 again and do an import. The key fields are now Number not FirstName and Import Manager Application in Compliance

40 Example 2: IMA GUI with different domain logins 1. Log into the network with the user account of johnsmith. 2. Open the IMA GUI and check various selected key fields. 3. Close the GUI. 4. Move to the computer that runs the IMA console and has the user account of johnadmin. Because the console application is running on another computer, it does not have the same selected key fields as johnsmith. 5. Log into the IMA GUI as johnadmin and set the desired select key fields. Example 3: Command line interface with different domain logins 1. Login as billken0 on a dedicated server for IMA, and then log into the CLNTDB database with the login name 2. Create a batch job to execute IMA via the command line. Login as "imasupport and use the 3. Now the network engineer sets up a scheduled task to run the import daily. He logs into the dedicated server as gawpet0 and creates a task to execute the same batch job that billken0 created in an earlier step. 4. When the scheduled task executes, the key fields are per the gawpet0 domain login. In this case, gawpet0 did not use IMA on the server machine, and the default key field Number is used. 5. The daily scheduled import task executes and creates duplicate accounts since the Number field is used instead of ID. 6. In this scenario, specify the domain account user for the scheduled task. Setting that task to run as billken0 rather than gawpet0 resolves the issue. Select Update Fields Button The Select Update Fields button is only available when the Import Type is Privacy Breaches. A Fields for Update window is displayed, listing options to be included with the update. Available options are: Folder Path Division Path Workflow Template Unauthorized Disclosure Name Unauthorized Disclosure Number Import Manager Application in Compliance

41 Validate Button Validate the data in the Excel template for correct formats, required fields and valid information. This button validates only the information in the Excel file for correct formats and required information. You must validate a data file before importing it. When you use the Import button, the application validates the data file against the database records, thus there might be validation errors that occur during import that did not occur with the validation button. Note: If you have a message that indicates columns are missing, typically, it means that the template you are using does not have all the columns that are required for importing. It might be possible that the template has been changed and you are using an older template, or perhaps columns were accidently removed from the template you are using. Import Manager Application in Compliance

42 Understand the IMA Templates To import data into the Compliance 360 application, you use Import Manager Application (IMA) templates. The templates are Microsoft Excel files. The Excel program has worksheets which resemble tables. A table has multiple rows and columns for entering information. An Excel file can have more than one worksheet. The IMA Templates have two or more worksheets. The number of worksheets is based upon the Compliance 360 module to which you are importing data. For example, the Employees Legacy Template has four worksheet tables while the Third Party Risk Management Template has forty worksheet tables. We differentiate between IMA Legacy and IMA Enhanced templates. Before filling in a worksheet table for an IMA template: Review the list of available templates Review information about the layout of the template Review the information requested for the template o o Review the impact of adding new application fields to the Enhanced templates Review Import Options for Enhanced templates Review key considerations for the Employee templates for a foundation to other templates Review the Employee Data Management scenarios Review the best practices suggested for using the templates After you finish entering information in the IMA Templates, s who have the appropriate permission level can import the templates into the Compliance 360 application. Support If you are uncertain about the information requested for any of the templates, contact your organization's Compliance 360 system administrator. Your System Administrator is typically someone who has been trained to use the Compliance 360 modules. They should be able to help you understand the purpose of the fields as well as identify the fields that your organization wants to use in the templates. List of IMA Templates The following templates can be download from the Import Manager Application: Enhanced Templates Assessments Setup Claims Audit Manager Import Manager Application in Compliance

43 Claims Denial Manager Claims Resources Conflicts of Interest Manager / Default Country Risk Scores Documents Enterprise Risk Manager Employee Management Gifts and Hospitality Manager / Default Gifts and Hospitality Manager / Gift Business Partner Limits Gifts and Hospitality Manager / Gift Category Limits Gifts and Hospitality Manager / Gift Company Limits Incidents Internal Audit Policy Manager Privacy Breaches Third Party Risk Management Universal Assessments Legacy Templates Content Employees (Legacy) Employee Relationships (Legacy) ERM (Enterprise Risk Management) Project Plan SOX Related Topics Import Manager Application Overview Understand the IMA Templates IMA Template Best Practices Design and Layout of the IMA Templates Topics for Enhanced Templates Import Manager Application in Compliance

44 Impact on IMA When Adding New Fields in Compliance 360 Import Options Column Design and Layout of the IMA Templates Data Formatting Help Open the template with Microsoft Excel. The worksheet tables have visual aids, field help, and printable fieldlevel help (print worksheets) which provide you with instructions on how to use the templates. Visual Aids - The font color used in the column headings indicates which fields are required and which are not. Column headings which have red font are required fields; black font column headings are not required. When you enter information in the worksheet table, you must enter data in the columns with the red font headings. Entering information in the columns with the black font headings is optional, but typically, you will probably enter information in some of these black font columns. Field Help (legacy templates only)- When you move your computer mouse over a column heading in the Excel worksheet, a window pops open. This window displays information about the column requirements. You can read the description for the column and other information such as the number of characters and more. Printable Field-Level Help (Print Worksheets) - While each column heading in the worksheet table provides field help, a print worksheet table is also provided with the field help. Each data worksheet has a corresponding worksheet with the field help. You can print or view this help worksheet for reference. For example, the Employees Legacy template has two data worksheet tables - Employees and Employee Relationships. The Excel file has four actual worksheets: Employees and Employees Print, Employee Relationships and Employee Relationships Print. Critical Template Knowledge The columns in the Excel worksheet tables correspond to the fields in a Compliance 360 module. For example, the columns of the Employee Management Template correspond to the fields and Tabs in the Maintenance > Employee Management > Employees menu item. In order for the import to work correctly, DO NOT: Remove any columns Change the order of the columns Red Column Titles Indicate Required Data For the IMA import function to work properly, you must provide data in all of the columns with titles in red text. These columns indicate required data. If data is missing from a column cell for even one record, the system provides unexpected results. Before you begin the import, review the worksheet carefully to ensure all of the required data is provided. Import Manager Application in Compliance

45 Columns and Compliance 360 The image below displays a portion of the Employees Legacy template, Employees worksheet table. Click an arrow on the image for details about an area on the worksheet table. The details display how you can view the visual aids, field help, and print worksheet information, as well as show you how to scroll in the worksheet to view additional columns. Multiple Worksheet Tables in the Excel File for Entering Information Each Excel file has two or more worksheets tables. For example, the Employees Legacy template Excel file has four worksheet tables - two worksheets for the module and two help print worksheets for reference. The Third Party Risk Management template Excel file has forty worksheet tables - twenty worksheets for the module and twenty help print worksheets for reference. You do not have to enter data on each of the worksheet tables. For example, the Employees Legacy template has two worksheet tables: Employees and Employee Relationships. If you do not want to import Employee Relationship information, do not enter anything on that worksheet. How the Excel Worksheet Tables Connect to Each Other Templates with multiple worksheet tables have an ID column. The ID must be a unique number. When you import the template into the Compliance 360 application, the ID identifies the record to be added or updated. The ID can be the login ID or other numeric scheme that works within your organization. The ID column is found on each of the worksheet tables within the Excel file. To connect the information for a record on one of the worksheets to the information for the same record on another worksheet, the ID must be the same. This is the number that connects the same record from one worksheet table to another. For example: The Employees Legacy Template has an Employee worksheet table and an Employee Relationship worksheet table. Each worksheet table has an Employee ID column. If you are entering and relationship information for the same, you must use the same Employee ID on each worksheet. The Incidents Template has an Incidents worksheet table, Action worksheet table, Amount worksheet table, Contact worksheet table, Related Type worksheet table, and Status worksheet table. Each worksheet table Import Manager Application in Compliance

46 has an Incident ID column. If you are entering incident, action, amount, contact, related type, and status information for the same incident, you must use the same Incident ID on each worksheet. Note: It is important to note that the value you enter in any ID -related field must be greater than "0" (zero). Visual Example of How Excel Worksheet Tables Connect to Each Other: You are entering information in the IMA Employees Legacy Template for four s. On the Employees worksheet table, you assigned them Employee IDs. The Employee ID is a user-defined number that identifies a line of information. Use a simple sequential count or use numbers that relate to the Employee Number or some other scheme that fits the needs of your organization. Employees Worksheet Table The image below displays a few columns of the Employees worksheet table and the four table rows of information for the s. If you want to enter information for relationships for any of these s, you need to use the Employee Relationships worksheet table in the Excel file. Employee Relationships Worksheet Table To connect the information about an record to the relationship record, you need to enter the same Employee ID for the same record. The same Employee ID on the Employees worksheet table must be used on the Employee Relationships worksheet table for the same record. Let's say that for the four s listed above in the Employees worksheet table, you only want to enter a relationship for one of the s, such as Susie Que, Employee ID 3, Employee Number 213. Susie Que has a relationship to Tom Smyth. Tom Smyth is Susie Que's manager. The Employee Relationship worksheet table would look like this: In this situation, only one of the four s has information with Employee Relationship data. The Employee ID on this worksheet table is 3 which relates to Susie Que on the Employee tab with an Employee ID Import Manager Application in Compliance

47 of 3 as well. She has a relationship to the Related Employee ID 4, which is Tom Smyth as indicated on the Employees worksheet table. Each template has an ID column for each of the worksheet table. This is what connects information from one worksheet table to another. Information Requested for IMA Templates Before entering information in any of the import templates, you should review the type of information requested. While each column heading in the worksheet table provides field help, a corresponding print worksheet is also provided with the field help. This topic also provides additional information to help you import your data successfully. Print Worksheets Open the Excel template file and review the information on each of the Print Worksheets. The Print (P) worksheets list the fields and descriptions for information you can enter in the template. Each data worksheet has a corresponding worksheet with the field help. Review the fields and their descriptions. Find the information for each item, such as all the information needed for an, before completing the template. Typically, this information is found within your organization's files. Example For example, the Employees Legacy template has two data worksheet tables - Employees and Employee Relationships. The Excel file has four actual worksheets: Employees and Employees (P), Employee Relationships and Employee Relationships (P). The Employees data worksheet in the Employee legacy template has columns for the Employee ID, Number, Status, First and Last Name, Phone, etc. The Print worksheet explains to you what these fields mean. The following image is a sample of the Employees (P) worksheet. Import Manager Application in Compliance

48 Creating an Employee Management Object It is important to know that if you wish to create an Employee Management-related object in a root folder (for example Groups or Profiles) in IMA, you must specify the root folder in the Folder column in the template. Review the Use IMA to Create an Object in the Root Folder for examples. Note: If you are uncertain about the information requested for any of the templates, contact your organization's Compliance 360 system administrator. Your system administrator is typically someone who Import Manager Application in Compliance

49 has been trained to use the Compliance 360 modules. Your system administrator should be able to help you understand the purpose of the fields as well as identify the fields that your organization wants to use in the templates. Displaying File Type Icons for Documents, Policies, and Attachments If you are importing a file and you want the original file type icon to display, you must enter Yes in the Display Original column for that record. You indicate this same information when you attach a file to a record in the application. Impact on IMA When Adding New Fields in Compliance 360 Customers can add new fields to pages within some modules of Compliance 360 using the Forms Configuration functionality. Modules that allow this level of customer configuration are supported by IMA'senhanced templates. When a field is added using Forms Configuration, Compliance 360 automatically updates the associated enhanced import template stored in the system. You must Download IMA Templates to access this new column on the worksheet. The system does not update any templates that exist outside of the Compliance 360 application. You must download the updated template and use it from this point forward. Implications of Adding New Fields in Compliance 360 Modules Adding new fields to one of the modules using Forms Configuration essentially breaks the template and its compatibility with other systems that provide data for the import. Use the checklist that follows to ensure continued compatibility with all of the systems: 1. Identify the fields to be added to a Compliance 360 module. 2. Add the fields to the system using the Forms Configuration functionality. You may want to read an overview about the process. 3. Ensure the fields are added to all the screens/pages in the Compliance 360 module that use the data. 4. Update the associated, editable reports in Compliance 360. It is important to remember that the legacy reports cannot be updated. 5. Update the plug-ins on your Home Page Tab if necessary. 6. Download the updated IMA Template from Compliance Ensure that systems providing data for the IMA template are updated with the new field configuration (mapping). Once everything on the list is handled, add the data to be imported to the updated template. We recommend using the Validate feature in IMA to review the data for potential problems doing the actual import. After a successful validation, import the data into Compliance 360. Import Manager Application in Compliance

50 Import Options Column The Import Options column exists in the templates for modules built on foundation architecture. This column controls the behavior of IMA when you are importing data that already exists. The following table describes the options that can be used in the Import Options column. Option Brief Description A U UA R Add a new object. Update an existing object. Update an existing object, or add a new object if the object does not currently exist. Reference an existing object. Description Indicates that this row contains data for a new object that should be created in Compliance 360. If the object already exists, then the import creates a second object. This option ignores existing records and adds a new item. Indicates that this row contains data for an existing object. When the object is updated, the data in the spreadsheet overrides the data for the object in the system. However, if the Ignore Blank Values option is selected in the IMA Console, then blank columns do not override existing data. If the object exists, then the import process updates the data for the object. If the object does not exist, then the import process creates the object. Indicates that the information for this object should not override the data in Compliance 360. The spelling of the object must match the data in the system. For example, if you are referencing a division, it must be spelled the same way it is in Compliance 360. Note: The Employee Relationship worksheet does not support the R option because it would not mean anything for a related object. Import Manager Application in Compliance

51 D Delete an existing object. Indicates that this row contains data for an existing object that should be deleted. Admin level permission on an object is required before you can delete the object. Caution: Exercise extra caution when deleting objects in IMA to ensure that you do not unintentionally delete the wrong objects. Notes: If you delete an object that has child objects, then the child objects are also deleted. For example, assume that Investigation A was created for Incident 1. When you delete Incident 1, then Investigation A is also deleted. If you delete an object that is related to another object, then the relationship between the two objects is deleted, but the related object itself is not deleted. For example, assume that you delete Incident 1, which is related to Incident 2 and Policy A. The relationships between Incident 1 and Incident 2 and between Incident 1 and Policy A are deleted. However, Incident 2 and Policy A remain in the system and are not deleted. If you select a key field that may contain non-unique values, then objects with duplicate values in that field are not deleted. The IMA import process proceeds with deleting other objects in the template. An error message relating to duplicate records appears in the IMA log to indicate that the object could not be deleted. To work around this issue, specify multiple key fields on the tab when one or more of the key fields may contain non-unique values. Enter Folder Names in Templates Folder names specified in IMA templates must match the folder name exactly as it appears in the application. When the folder names on the template do not match the ones in the application, unexpected results occur. Common issues: Copying the information presented on the screen and pasting it in the template results in errors during the import. If there are no trailing spaces in the folder name in Compliance 360, the folder name in the template must not contain trailing spaces. If there are spaces between words in the folder name in Compliance 360, there must be spaces between the words in the folder name in the template. If there are no spaces before the folder name in Compliance 360, spaces must not precede the folder name in the template. The table below contains examples and explains why some of the template entries are incorrect. Import Manager Application in Compliance

52 Folder Name in Compliance 360 Folder Name Entered in the Template Correct or Incorrect "Georgia\Atlanta "Georgia\Atlanta" Correct "Georgia\Atlanta" "Georgia\Atlanta " Incorrect "Georgia\New Hope Hospital" Georgia\New Hope Hospital " Incorrect "Georgia\New Hope Hospital" "Georgia\New Hope Hospital" Incorrect "Georgia\New Hope Hospital" "Georgia\New Hope Hospital" Correct The space after Atlanta must be removed from the template. The space after Hospital must be removed from the template. Correct the spelling of Georgia in Compliance 360 before importing data from the template. Another option is to change the folder name on the template to match the folder spelling in Compliance 360. After the import, you can change the folder name if necessary. The space after Hospital in the preceding example has been removed. "North Georgia\Community Hospital" "North Georgia\Community Hospital" "NorthGeorgia\Community Hospital" " North Georgia\Community Hospital" "North Georgia\Community Hospital" "North Georgia\Community Hospital" Incorrect The space before North must be removed from the template. Correct The space before North in the preceding example has been removed. Incorrect There space after North in the template must be removed. Folder Settings There are a few things to remember about folders if using this process: Import Manager Application in Compliance

53 If an object is going to be stored in a new folder, the import process will create the folder based on the information in the Folder Path field, if the option to create divisions and folders during import is selected. You must log in to the Compliance 360 application and give any new folder module visibility to the appropriate module. This is only applicable for folders immediately under the division folder. All other subfolders of that parent folder inherit this same visibility. You may also want to update the icon used to identify the folder on the Modify Folder page. By default, the import process assigns the generic folder icon. Use IMA to Create an Object in the Root Folder It is important to know that if you wish to create a folder-based object in a root folder (for example Groups or Profiles) in IMA, you must specify the root folder in the Folder column in the template. Examples Example 1 The user has a division called Georgia and is working in the Incidents module. The user wants to create an object in the root folder, which by default is called Georgia. The user must specify Georgia in the Folder column and Georgia in the Division column of the Incidents IMA template. Example 2 The user has a division called Georgia and is working in the Employee Management module. The user wants to update a Profile object that resides in the root folder of the Global division. The user must specify Global\Profiles in the Folder column and ~global~ in the Division column of Employee Management IMA template. Example 3 he user has a division called Georgia and is working in the Incidents module. The user wants to create an object in a new folder off the root folder, which is to be named Atlanta. The user must specify Georgia\Atlanta in the Folder column and Georgia in the Division column of the Incidents IMA template. For additional information on how folder names are supposed to be entered on templates, review the Enter Folder Names in Templates topic. IMA Template Best Practices The Import Manager Application (IMA) enables you to import data to the Compliance 360 database using Microsoft Excel templates. To help users become more efficient, Compliance 360 recommends the following: Begin using IMA by importing the team members for one project into the Employee Management template. After becoming familiar with this process, import more s and users. Import Manager Application in Compliance

54 Notes: o o Use the Employees Legacy template to enter information without using the management information. Use the Employee Management template to enter s, divisions, companies, profiles and more, enabling you to identify management information. When you import with the Employee Legacy template, the Import Options are not used. When you import with the Employee Management template, the Import Options column is used. Create folders and subfolders to store template information. For legacy templates, review the Import Options to determine which option fits your needs for the information you are importing. You might determine the Ignore Existing Reports option generates a lot of multiple records. Typically, the Keep Existing Records Without Change and the Overwrite Existing Records With New options might fit your needs in most situations. For enhanced templates, review the options available for each row in the template using the Import Options column. Review the Ignore Blank Values option (not available for legacy templates) to determine if it should be checked or unchecked. Review the Create Missing Fields option to determine if this field should be checked or unchecked to fit your needs for the information you are importing. o o Even if you use IMA to create folders or lookup table values, you might want to clear this field, and run a Validation on the file you want to import. View the results in the Display Log. Once you are sure the entries listed on the display log are the values you want to import, you can select Create Missing Fields for importing the template. The IMA Templates with multiple worksheet tables have an ID column. The ID must be a unique number. When you import the template into the Compliance 360 application, the ID identifies the record to be added or updated. The ID can be the login ID or other numeric scheme that works within your organization. The ID column is found on each of the worksheet tables within the Excel file. To connect the information for a record on one of the worksheets to the information for the same record on another worksheet, the ID must be the same. Click here for more understanding on how to use the IMA Templates. o The ID can be any alpha or numeric value that has a meaning to you. You might consider using the same value as a category or policy name, etc. For example, if you are using the Claims Auditor template, you might use the Audit Name as the Audit ID. The Audit ID would be used on each worksheet table within the Claims Auditor template. If you have a large number of records to import into the application for the same template for example, 5,000 records for s, you might consider importing a file with one or two records, then a file with 100 records, continuing with imports of more records with each import. For example: Import Manager Application in Compliance

55 o Enter one record in the IMA template. Import the file. Verify the information imported the way you expected. If not, change your settings and import another file with one record. Once you import a file with one record and the information is in the application as you expected, start with another file with additional records. o o o Enter ten to 50 records in the IMA template and import that file. Verify the information imported the way you expected. Upon success, use additional records in the next import. Enter 500 to 1,000 records in the IMA template and import that file. Continue in this manner until all records are imported. Review the File Locations information for suggestions on file names. If IMA has been open for a number of hours, close the application and then reopen it. This ensures that your login session has not timed out from non-use. If you intend to add strings of numbers over 15 digits, you may do one of the following to enter data into the file: o o Open the file in a text editor, like Notepad, and enter data. Text editors allow strings of over 15 digits. Open the file in Microsoft Excel and before adding any data, format all the cells on the spreadsheet to Text. Excel has a limitation on displaying long strings of digits and may convert the numbers to other numbers or add trailing zeroes. Tip: Click here for information on formatting the cells in Excel. 1. Select all the cells on the spreadsheet. 2. Either right-click the sheet or click the Format Cells menu on the Home tab and select the Format Cells option. 3. On the Number tab, select the Text option. 4. Click OK. Employee Imports The following topics provide information on performing imports with IMA: Employee Data Management (EDM) Scenarios 55 Scenario 1 - Adding Employees and Users the First Time 56 Scenario 2 - Adding Employee Relationships 69 Scenario 3 - Updating Employee and User Profile Information 72 Scenario 4 - Updating Employee Records 84 Scenario 5 - Deactivating Employees and Users 97 Employee Data Management (EDM) Scenarios The following scenarios help you understand the purpose of different fields in the Legacy Employee template: Import Manager Application in Compliance

56 Scenario 1 - Adding Employees and Users the First Time Scenario 2 - Adding Employee Relationships Scenario 3 - Updating Employee and User Profile Information Scenario 4 - Updating Employee Records Scenario 5 - Deactivating Employees and Users You can also use the Employee Management template for enhanced functionality. See Employee Import Key Considerations for more information on which template to use. The scenarios would be similar, but there are differences in the templates, particularly how to set import optons. Scenario 1 - Adding Employees and Users the First Time This scenario provides suggestions on how to enter information in the worksheet table for your s and users whose information has not yet been entered into the Compliance 360 application. This includes your existing s (if you are using Compliance 360 for the first time), new s, and future users. You can use the Employees Legacy template to create active s or users, associate them to division (s) and user group(s), module group(s) and workflow team(s). You can also use the Employee Management template for enhanced functionality. See Employee Import Key Considerations for more information on which template to use. Note: When you import s and users, you can enter more information than is shown below. For example, your organization might want the telephone number and fax number entered. Contact your organization's System Administrator for the list of fields that should be filled out to fit your organization's needs. Information entered can be used for reports and searches. The table below displays the fields and descriptions for the Employees Legacy Template Employees Worksheet Table. The Example column contains the typical information you might enter for new s and users you want to import into the Compliance 360 application. Import Manager Application in Compliance

57 Field Descriptio n Format Example Employe e ID required field A unique ID value used for this import. Each on this template tab must have a unique ID Numeric value 4401 Employe e Number required field The Employee ID number that exists in the Complianc e 360 application Numeric value If multiple s share this number, the is not imported. Maximum Characters: Employee Status The status. This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values Maximum Characters: 50 Active Salutation The 's salutation Typically Mr, Mrs, Ms, etc. Maximum Characters: 25 First Name required field The 's first name Alphabetical value Maximum Characters: 30 Betty Import Manager Application in Compliance

58 Field Descriptio n Format Example Middle Initial The 's middle initial Alphabetical value Maximum Characters: 10 J Last Name required field The 's last name Alphabetical value Maximum Characters: 30 Adams Phone The 's telephone number Numeric value. Use any standard format: (770) characters maximum Fax The 's FAX number Numeric value. Use any standard format: (770) Maximum Characters: 20 The 's address Alphanumeric value name@domain.com id@company.net badams@ .co m Using the # sign in this column removes the address. 50 maximum characters Import Manager Application in Compliance

59 Field Descriptio n Format Example Send Digest Messag e? Enter Yes in this field to select the Send Digest Message option for this Yes or No A value other than Yes deselects this option. No Company Name The employing company's name Alphanumeric value Maximum Characters: 50 ABC Company Import Manager Application in Compliance

60 Field Descriptio n Format Example Divisions required field The divisions in which records are created. The first being primary division. Alphanumeric value If there are multiple divisions, use the symbol as the separator. If there is a Division and Sub-Division, use the \ symbol as the separator. If you are deactivating an, the must be associated with at least one division. Tip: It may be helpful to create a division called Former Employees in the Compliance 360 application. Atlanta Division Atlanta Division Macon Division Savannah Division Atlanta Division\North Symbol Notes: The symbol is found on your computer keyboard, typically above the Enter key, usually on the right side of a keyboard. This is called the pipe symbol. It is typically found on the same key as the backward slash \. You would have to press and hold the shift key, then press the \ key in order to use the symbol. The \ symbol is found on your computer keyboard, typically above the Enter key, usually found on the right side of a keyboard. This is called the backward slash. Press the \ key to use the backward slash. The ~ symbol is found on your computer keyboard, typically before the number 1 key, usually on the left side of a keyboard. This is called the tilde symbol (rhymes with Hilda). It is typically found on the same key as the ` symbol. You would have to press and hold the shift key, then press the ` key to use the ~ symbol. Dept # The number of the departmen t in which the works. Numeric value You can specify the division for the department number by using the tilde (~) symbol between the division and the department. If you do not specify a division, this department is created in the s primary division Atlanta Division~1234 Import Manager Application in Compliance

61 Field Descriptio n Format Example Dept Name The name of the departmen t in which the works Alphabetical value You can specify the division for the department name by using the ~ symbol between the division and the department. If you do not specify a division, this department name is created in the s primary division. Maximum Characters: 50 Risk Management Atlanta Division~Human Resources Human Resources Dept Head The number of the head of the departmen t in which the works Numeric value 5555 Job Title The 's job title. This field matches existing lookup table values Alphabetical value based upon your Lookup Table Values Maximum Characters: 50 Employee Hire Date The date the was hired Numeric field mm/dd/yyyy 03/15/2011 Import Manager Application in Compliance

62 Field Descriptio n Format Example User Groups A list of User Groups associated with this Alphanumeric value based upon the User Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. Use the symbol to separate groups. Use the group name for system groups. Missing values in this field are not created if you select the Create Missing Fields option. Group 1 Atlanta Division~Group 1 Group 1 Group 2 Atlanta Division~Group 3 Administrators Remove Existing User Groups Enter Yes in this field to Remove all existing User Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the User Groups specified in this template. Module Groups A list of Module Groups associated with this Alphanumeric value based upon the Module Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. Use the symbol to separate groups. Use the group name for system groups. Missing values in this field are not created if you select the Create Missing Fields option. Claims Auditor Access Atlanta Division~Claims Auditor Access Claims Auditor Access Incidents Access Policies Access Administrators Import Manager Application in Compliance

63 Field Descriptio n Format Example Remove Existing Module Groups Enter Yes in this field to Remove all existing Module Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the Module Groups specified in this template. Ignore Login Name if one exists Enter Yes in this field to use the 's existing login name, if found Yes or No A value other than Yes allows the import to overwrite the existing login name. Login Name The user's login name Alphanumeric value Maximum Characters: 50 Badams123 Note: If this field is used, the Password field must also be used. Passwor d The user's password Alphanumeric value This field is only functional with new user accounts. password1 Maximum Characters: 24 Note: While this is not a required field for importing the Employee IMA Template, if you enter information in the Login Name field, you must enter information in the Password field. Passwor d Expiratio n Days The number of days until the password expires Numeric value 090 Import Manager Application in Compliance

64 Field Descriptio n Format Example Must Change Passwor d Enter Yes in this field to require the to change the password at the first login. Yes or No A value other than Yes does not require a password change. Yes Must Verify Challenge Question s Login Start Date Enter Yes in this field to require the to force users to verify challenge questions on next login. The first day the can log in Yes or No A value other than Yes does not require password verification. Numeric field mm/dd/yyyy Yes 01/01/2015 Login End Date The last day the can log in Numeric field mm/dd/yyyy 01/01/2018 Theme The 's theme Alphanumeric value based upon the theme that exists within the Compliance 360 application. Missing values are not created if you select the Create Missing Fields option. Import Manager Application in Compliance

65 Field Descriptio n Format Example Time Zone The time zone where the works Numeric and symbol value This field must be a number between -12 and +12. Time zones are calculated based on Greenwich Mean Time (GMT) using this formula: -5 TimeZone = GMT + n" where n specifies the variable shown in the formula. For example: Eastern Time is 5 hours behind GMT; therefore, n = -5. In this example, enter -5 in this field. Delete Employee Enter Yes in this field to delete this Yes or No A value other than Yes does not delete the. You can later reinstate the by re-importing the record. Additional properties are unaffected when an is deleted. Yes Deactivat e Account Enter Yes in this field to deactivate the 's account. Yes or No A value other than Yes does not deactivate the account. Additional properties are unaffected when an account is deactivated. Yes Import Manager Application in Compliance

66 Field Descriptio n Format Example Employee Type This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values. Type 1 Division Workflow Team Groups A list of Division Workflow Team Groups associated with this. Alphanumeric value based upon the Division Workflow Team Groups that exist within the Compliance 360 application. If there is a Group and Sub-Group, use the \ symbol as the separator. For example: Office Group 1\Sub1 Use the ~ symbol with local groups to separate the division from the group. Use the symbol to separate groups. System Groups cannot be used. Office Group 1 Atlanta Division~Office Group 1 Office Group 1 Office Group 2 Office Group 3~Sub1 Remove Existing Division Workflow Team Groups Enter Yes in this field remove the existing division workflow team groups associated with this. Yes or No A value other than Yes does not remove the existing division. Additional properties are unaffected when an account is deactivated. Yes Alternate Employee Numbers Additional numbers associated with this. Numeric value Use the symbol to separate multiple numbers Import Manager Application in Compliance

67 Key Considerations Scenario 1 The information entered in the IMA template should match the Compliance 360 application values, such as Divisions, Department #, Department Name, Job Title, etc. If the entered values do not match the values in Compliance 360, depending on your Console Settings, the system creates values (Create Missing Fields option) or gives an error message during the import (Do Not Create Missing Fields). Before importing, make sure the Module Groups exist in the Compliance 360 application. The import only assigns s to existing module groups. If the Module Group does not exist, the import generates a warning message on the import log. Example Template Scenario 1 This example IMA Employees Legacy template displays information for five s hired at the ABC Company. The Excel file contains five rows of information representing the five s. The information entered in the columns for these s is based on the organization's decision of what information to enter for each new or user. For example, some organizations might not want to enter fax numbers for their s or enter their local time zone. When you enter information in the Employees Legacy template worksheet, an Employee ID must be entered for each. For this example, the organization made a decision to use the same value as the Employee Number. For example, if the Employee Number is 4401, the Employee ID is also To update the information, the Employee Number must match the Employee Number in the Compliance 360 application. In this example file, the information that is entered is based upon the decision of the ABC Company. Your organization might use different columns than is shown in this Excel file. Employee Name Betty J Adams Employee Information Hire Date: March 15, 2011 Job Title: Employee Employee Number: 4401 Employee ID: 4401 Department: Risk Management Department Head: Susie Queue Assigned to: Divisions: Atlanta Division User Group: Group 1 Module Group: Claims Auditor Access Division Workflow Team Groups: Office Group 1 Import Manager Application in Compliance

68 Employee Name Employee Information Assigned to: John Smith Hire Date: March 15, 2011 Job Title: Employee Employee Number: 4402 Employee ID: 4402 Department: Risk Management Divisions: Atlanta Division, Sub-Division North Location User Group: Group 1 Module Group: Claims Auditor Access and Incidents Access Division Workflow Team Groups: Office Group 1 and Office Group 2 Department Head: Susie Queue Tom William Hire Date: March 15, 2011 Job Title: Employee Employee Number: 4403 Employee ID: 4403 Department: Human Resources Divisions: Atlanta Division, Sub-Division North Location and South Location User Group: Group 1 and Group 2 Module Group: Claims Auditor Access and Incidents Access Division Workflow Team Groups: Office Group 1 and Office Group 2 Department Head: Steve Burns Mary Doe Hire Date: March 15, 2011 Job Title: Employee Employee Number: 4404 Employee ID: 4404 Department: Human Resources Divisions: Atlanta Division, Sub-Division North Location and South Location User Group: Group 1 Module Group: Incidents Access Division Workflow Team Groups: Office Group Department Head: Steve Burns Import Manager Application in Compliance

69 Employee Name Employee Information Assigned to: Jane Jones Hire Date: March 28, 2011 Job Title: Supervisor Employee Number: 4405 Employee ID: 4405 Department: Human Resources Divisions: Atlanta Division, Sub-Division South Location User Group: Group 1 and Group 2 Module Group:Claims Auditor Access and Incidents Access Division Workflow Team Groups: Office Group 1 and Office Group 2 Department Head: Steve Burns Other information that is entered in the Excel file for the five s listed in the table above includes the phone number, fax number, address, login ID, password, etc. Click here to view the example Employees Legacy template for adding s and users the first time. Scenario 2 - Adding Employee Relationships This scenario provides suggestions for entering information in the Employee Relationship worksheet table for your s and users that require relationship information. This includes adding relationships to s you are adding on the Employees worksheet table as well as s already existing in the Compliance 360 application. The template might contain new relationships as well as updated relationships for the. You can also use the Employee Management template for enhanced functionality. See Employee Import Key Considerations for more information on which template to use. Legacy Employee Relationships Template or Worksheet on Employee Template The table below displays the fields and descriptions for the Employees Legacy template > Employee Relationships worksheet tab. The Example column displays the typical information you might enter for adding relationships. Field Description Format Example Employee ID required The unique Employee ID value for this, specified on the Employees tab. Value must exist on the Employees tab. Numeric value 4401 Import Manager Application in Compliance

70 Field Description Format Example Relationship Type The type of relationship between this and the related Alphabetic value Supervisor required Related Employee ID required The unique Employee ID value for the related, specified on the Employees tab. Value must exist on the Employees tab. Numeric value 6401 Import Manager Application in Compliance

71 Field Description Format Example Update Method (Legacy only) The value of this field enables you to delete existing database records based on specified criteria. Leave this field blank to make no changes to the existing records To delete existing records, enter one of the following values. Data contained on each row is added to the database after the specified data is deleted. R Deletes all existing records matching the data in the Relationship Type column in this row. S - Deletes all existing records matching the data in the Employee ID column in this row. T - Deletes all existing records matching the data in the Related Employee ID column in this row. Enter one of the following values to delete records based on data in multiple columns: RT, RS, ST, RST Alphabetic value Use one or more of the following values to delete Employee Relationships: R, S, or T. If this field is not used, the Employee Relationship information is updated rather than deleted. Deletion Examples for this tab: 4401 Supervisor 6401 S Deletes every Employee Relationship record where 4401 is in the Employee ID field Supervisor 6401 RS Deletes every Employee Relationship record where 4401 is in the Employee ID field AND Supervisor is in the Relationship Type field Supervisor 6401 T Deletes every Employee Relationship record where 6401 is in the Related Employee ID field Supervisor 6401 RT Deletes every Employee Relationship record where 6401 is in the Related Employee ID field AND Supervisor is in the Relationship Type field Supervisor 6401 RST Deletes every Employee Relationship record where 4401 is in the Employee ID field AND Supervisor is in the Relationship Type field AND 6401 is in the Related Employee ID field. Key Considerations Scenario 2 The Update Method column must be filled in to remove existing relationships if necessary. If an 's relationship to another user has changed at the same time as a new relationship, without entering an Update Method, duplicate relationships could occur. Import Manager Application in Compliance

72 If an is deactivated on the Employees tab, you should remove them from existing relationships. For example: Employee 1 has a relationship to Employee 2. At some point, Employee 1 is no longer working at your organization and needs to be deactivated, the Employee Relationship for Employee 2 needs to be removed. Example Template Scenario 2 This example IMA Employees Legacy template displays information for the five s hired at the ABC Company in Scenario 1. The Excel file contains five rows of information representing the five s. The information entered in the Employee Relationships worksheet tab for these s is based upon the organization's decision of the information for Employee Relationships. For example, some organizations might not want to enter relationships. When you enter information in the Employees Legacy template worksheet, an Employee ID must be entered for each. For this example, the organization made a decision to use the same value as the Employee Number. For example, if the Employee Number is 4401, the Employee ID is also These IDs were entered on the Employee worksheet table, so by using the same Employee ID on the Employee Relationship worksheet tab for the same s, the information is connected from one worksheet to the next. In this example file, the information that is entered is based upon the decision of the ABC Company. Your organization might use Employee Relationships. Betty J Adams has an Employee ID of She has an relationship to her manager Tim Hudson. Tim's Employee Number is John Smith has an Employee ID of He has an relationship to his manager Tim Hudson. Tim's Employee Number is Tom Williams has an Employee ID of He has an relationship to his manager Gloria Baker. Gloria's Employee Number is Mary Doe has an Employee ID of She has an relationship to her manager Gloria Baker. Gloria's Employee Number is Jane Jones has an Employee ID of She has an relationship to her manager Sara Hall. Sara's Employee Number is View the example Employees Legacy Template for adding relationships. Scenario 3 - Updating Employee and User Profile Information This scenario provides suggestions for entering information in the worksheet table for your s and users that already existing in the Compliance 360 application, but require updates to their records. This scenario explains entering information to change the s' profile information such as an address, telephone number, etc. Notes: Import Manager Application in Compliance

73 Employee profile information includes basic or user information such as the name, phone number, address, etc. Employee role information includes module and user group changes, workflow team groups and more. While there is no real difference in using the Employees template worksheet table, for the purpose of these scenarios, it is easier to separate examples of updating basic profile information from an employes's role information. The table below displays the fields you can enter as well as a description of the field and more. It is the same one you would use for creating s and users as explained in Scenario 1. There is only one Employees Legacy template, and it is used for new records, changes and deletions of records. What makes it different is that you are entering information for s that already exist in the Compliance 360 application. You can also use the Employee Management template for enhanced functionality. See Employee Import Key Considerations for more information on which template to use. Note: When you import changes for s and users, you can enter more information than is shown below. For example, the table below shows a last name change and an address change. If the telephone number also changes, you could enter that information as well. The table below displays the fields and descriptions for the Employees Legacy template> Employees Worksheet table. The Example column displays the typical information you might enter for a change to an record in the Compliance 360 application. Field Descriptio n Format Example Employe e ID required field A unique ID value used for this import. Each on this template tab must have a unique ID Numeric value 4401 Import Manager Application in Compliance

74 Field Descriptio n Format Example Employe e Number required field The Employee ID number that exists in the Complianc e 360 application Numeric value If multiple s share this number, the is not imported. Maximum Characters: Employee Status The status. This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values Maximum Characters: 50 Salutation The 's salutation Typically Mr, Mrs, Ms, etc. Maximum Characters: 25 First Name required field The 's first name Alphabetical value Maximum Characters: 30 Betty Middle Initial The 's middle initial Alphabetical value Maximum Characters: 10 J Last Name required field The 's last name Alphabetical value Maximum Characters: 30 Franklin Import Manager Application in Compliance

75 Field Descriptio n Format Example Phone The 's telephone number Numeric value. Use any standard format: (770) characters maximum Fax The 's FAX number Numeric value. Use any standard format: (770) Maximum Characters: 20 The 's address Alpha/numeric value name@domain.com id@company.net bfranklin@ .co m Using the # sign in this column removes the address. 50 maximum characters Send Digest Messag e? Enter Yes in this field to select the Send Digest Message option for this Yes or No A value other than Yes deselects this option. Company Name The employing company's name Alpha/numeric value Maximum Characters: 50 Import Manager Application in Compliance

76 Field Descriptio n Format Example Divisions required field The divisions in which records are created. The first being primary division. Alpha/numeric value If there are multiple divisions, use the symbol as the separator. For example: Atlanta Division Macon Division Savannah Division If there is a Division and Sub-Division, use the \ symbol as the separator. For example: Atlanta Division\North If you are deactivating an, the must be associated with at least one division. If the Compliance 360 application, you might want to create a division titled Former Employees. Symbol Notes: The symbol is found on your computer keyboard, typically above the Enter key, usually on the right side of a keyboard. This is called the pipe symbol. It is typically found on the same key as the backward slash \. You would have to press and hold the shift key, then press the \ key in order to use the symbol. The \ symbol is found on your computer keyboard, typically above the Enter key, usually found on the right side of a keyboard. This is called the backward slash. Press the \ key to use the backward slash. The ~ symbol is found on your computer keyboard, typically before the number 1 key, usually on the left side of a keyboard. This is called the tilde symbol (rhymes with Hilda). It is typically found on the same key as the ` symbol. You would have to press and hold the shift key, then press the ` key in order to use the ~ symbol Atlanta Division Import Manager Application in Compliance

77 Field Descriptio n Format Example Dept # The number of the departmen t in which the works Numeric value You can specify the division for the department number by using the tilde (~) symbol between the division and the department. For example: Atlanta Division~1234 If you do not specify a division, this department is created in the s primary division. For example: 1234 Dept Name The name of the departmen t in which the works Alphabetical value You can specify the division for the department name by using the ~ symbol between the division and the department. For example: Atlanta Division~Human Resources If you do not specify a division, this department name is created in the s primary division. For example: Human Resources Maximum Characters: 50 Dept Head The number of the head of the departmen t in which the works Numeric value Import Manager Application in Compliance

78 Field Descriptio n Format Example Job Title The 's job title. This field matches existing lookup table values Alphabetical value based upon your Lookup Table Values Maximum Characters: 50 Hire Date The date the was hired Numeric field mm/dd/yyyy User Groups A list of User Groups associated with this Alpha/numeric value based upon the User Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Group 1 Use the symbol to separate groups. For example: Group 1 Group 2 Atlanta Division~Group 3 Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Remove Existing User Groups Enter Yes in this field to Remove all existing User Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the User Groups specified in this template. Import Manager Application in Compliance

79 Field Descriptio n Format Example Module Groups A list of Module Groups associated with this Alpha/numeric value based upon the Module Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Claims Auditor Access Use the symbol to separate groups. For example: Claims Auditor Access Incidents Access Policies Access Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Remove Existing Module Groups Enter Yes in this field to Remove all existing Module Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the Module Groups specified in this template. Ignore Login Name if one exists Enter Yes in this field to use the 's existing login name, if found Yes or No A value other than Yes allows the import to overwrite the existing login name. Login Name The user's login name Alpha/numeric value Maximum Characters: 50 bfranklin123 Note: If this field is used, the Password field must also be used. Import Manager Application in Compliance

80 Field Descriptio n Format Example Passwor d The user's password Alpha/numeric value This field is only functional with new user accounts. Maximum Characters: 24 Note: While this is not a required field for importing the Employee IMA Template, if you enter information in the Login Name field, you must enter information in the Password field. Passwor d Expiratio n Days The number of days until the password expires Numeric value For example: 090 Must Change Passwor d Enter Yes in this field to require the to change the password at the first login. Yes or No A value other than Yes does not require a password change. Must Verify Challenge Question s Enter Yes in this field to require the to force users to verify challenge questions on next login. Yes or No A value other than Yes does not require password verification. Import Manager Application in Compliance

81 Field Descriptio n Format Example Login Start Date The first day the can log in Numeric field mm/dd/yyyy Login End Date The last day the can log in Numeric field mm/dd/yyyy Theme The 's theme Alpha/numeric value based upon the theme that exists within the Compliance 360 application. Missing values are not created if you select the Create Missing Fields option. Time Zone The time zone where the works Numeric and symbol value This field must be a number between -12 and +12. Time zones are calculated based on Greenwich Mean Time (GMT) using this formula: TimeZone = GMT + n" where n specifies the variable shown in the formula. For example: Eastern Time is 5 hours behind GMT; therefore, n = -5. In this example, enter -5 in this field. Import Manager Application in Compliance

82 Field Descriptio n Format Example Delete Employee Enter Yes in this field to delete this Yes or No A value other than Yes does not delete the. You can later reinstate the by re-importing the record. Additional properties are unaffected when an is deleted. Deactivat e Account Enter Yes in this field to deactivate the 's account. Yes or No A value other than Yes does not deactivate the account. Additional properties are unaffected when an account is deactivated. Employee Type This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values. Division Workflow Team Groups A list of Division Workflow Team Groups associated with this. Alpha/numeric value based upon the Division Workflow Team Groups that exist within the Compliance 360 application. If there is a Group and Sub-Group, use the \ symbol as the separator. For example: Office Group 1\Sub1 Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Office Group 1 Use the symbol to separate groups. For example: Office Group 1 Office Group 2 Office Group 3~Sub1 System Groups cannot be used. Import Manager Application in Compliance

83 Field Descriptio n Format Example Remove Existing Division Workflow Team Groups Enter Yes in this field remove the existing division workflow team groups associated with this. Yes or No A value other than Yes does not remove the existing division. Additional properties are unaffected when an account is deactivated. Alternate Employee Numbers Additional numbers associated with this. Numeric value Use the symbol to separate multiple numbers. For example: Key Considerations Scenario 3 On an update, the Employee Number cannot be changed from the currently assigned number as this is how the import identifies the record to be updated in the Compliance 360 application. To update an 's record, the worksheet table must contain the 's original information in the required fields, unless you intend to change that information. In the example above, the 's last name in the Compliance 360 application is Adams. In the table above, the last name is Franklin. For this field, the Last Name is changed from Adams to Franklin in the Compliance 360 application. In the example above, the 's divisions in the application is Atlanta Division. For this example, only the 's last name, address, and login ID are to be changed. For the division field, you need to enter the exact same existing divisions and subdivisions of the original record. If the division field in the worksheet table has Atlanta Division\North Location, the 's record in the Compliance 360 application would be changed to the Atlanta Division, North Location. On a legacy template, with an update, fields normally cannot be changed to an empty (blank) value, except for the field. For example, if Betty Franklin no longer has a telephone number, leaving the column blank in the worksheet template does not remove the telephone number from the Compliance 360 application. However, if you choose the Overwrite Existing Records with New option for the Import Options field, then all fields that are blank will update the application to remove the data. See Import Options Field for Import Manager Application in Compliance

84 more details. You can change the address field to an empty (blank) value by using the column of the worksheet table. # symbol in the For an enhanced template, how a blank value is processed depends on the option chosen in the Ignore Blank Values field. Example Template Scenario 3 This example IMA Employees Legacy template displays information for the five s hired at the ABC Company in Scenario 1. The Excel file contains five rows of information representing the five s. The information entered in the columns for these s is based upon the changes required for the s, such as a name, phone number, login ID, etc. When you enter information in the Employees Legacy template worksheet, an Employee ID must be entered for each. For this example, the organization made a decision to use the same value as the Employee Number. For example, if the Employee Number is 4401, the Employee ID is also To update the information, the Employee Number must match the Employee Number in the Compliance 360 application. Betty J Adams got married, her new last name is Franklin. She needs her last name, address, and login ID changed. John Smith has been given a new telephone number, it is Tom Williams has been receiving daily digest , now, wants the individual s. Mary Doe's name had been entered incorrectly when she was initially added through the Employees Legacy template. Her name is Marie Doe. Her first name has to be updated. Jane Jones has been receiving individual s, now she now wants a daily digest of the s. Click here to view the example Employees Legacy template for updating profile information. Scenario 4 - Updating Employee Records This scenario provides suggestions for entering information in the worksheet table for your s and users that already existing in the Compliance 360 application, but require updates to their records. This scenario explains entering information to change the s' role information such as changes to divisions, user groups and modules groups, etc. Notes: Employee profile information includes basic or user information such as the name, phone number, address, etc. Employee role information includes module and user group changes, workflow team groups and more. While there is no real difference in using the Employees Template worksheet table, for the purpose of these scenarios, it is easier to separate examples of updating basic profile information from an employes's role information. Import Manager Application in Compliance

85 The table below displays the fields you can enter as well as a description of the field and more. The table below is the same one you would use for creating and updating s and users as explained in Scenario 1 and 2. There is only one Employees Legacy Template, and it is used for new records, changes and deletions of records. What makes it different is that you are entering information for s that already exist in the Compliance 360 application. Note: When you import changes for s and users, you can enter more information than is shown below. For example, the table below shows a division, module group, and user group change. If the workflow teams, address, or telephone number also changes, you could enter that information as well. The table below displays the fields and descriptions for the Employees Legacy Templates Employees Worksheet Table. The Example column displays the typical information you might enter for a change to an record in the Compliance 360 application. Field Description Format Example Employee ID required field A unique ID value used for this import. Each on this template tab must have a unique ID Numeric value 4401 Employee Number required field The Employee ID number that exists in the Compliance 360 application Numeric value If multiple s share this number, the is not imported. Maximum Characters: Employee Status The status. This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values Maximum Characters: 50 Salutation The 's salutation Typically Mr, Mrs, Ms, etc. Maximum Characters: 25 Import Manager Application in Compliance

86 Field Description Format Example First Name required field The 's first name Alphabetical value Maximum Characters: 30 Betty Middle Initial The 's middle initial Alphabetical value Maximum Characters: 10 J Last Name required field The 's last name Alphabetical value Maximum Characters: 30 Franklin Phone The 's telephone number Numeric value. Use any standard format: (770) characters maximum Fax The 's FAX number Numeric value. Use any standard format: (770) Maximum Characters: 20 The 's address Alpha/numeric value name@domain.com id@company.net Using the # sign in this column removes the address. 50 maximum characters Import Manager Application in Compliance

87 Field Description Format Example Send Digest Message? Enter Yes in this field to select the Send Digest Message option for this Yes or No A value other than Yes deselects this option. Company Name The employing company's name Alpha/numeric value Maximum Characters: 50 Import Manager Application in Compliance

88 Field Description Format Example Divisions required field The divisions in which records are created. The first being primary division. Alpha/numeric value If there are multiple divisions, use the symbol as the separator. For example: Atlanta Division Macon Division Savannah Division If there is a Division and Sub-Division, use the \ symbol as the separator. Atlanta Division\North Location For example: Atlanta Division\North If you are deactivating an, the must be associated with at least one division. If the Compliance 360 application, you might want to create a division titled Former Employees. Symbol Notes: The symbol is found on your computer keyboard, typically above the Enter key, usually on the right side of a keyboard. This is called the pipe symbol. It is typically found on the same key as the backward slash \. You would have to press and hold the shift key, then press the \ key in order to use the symbol. The \ symbol is found on your computer keyboard, typically above the Enter key, usually found on the right side of a keyboard. This is called the backward slash. Press the \ key to use the backward slash. The ~ symbol is found on your computer keyboard, typically before the number 1 key, usually on the left side of a keyboard. This is called the tilde symbol (rhymes with Hilda). It is typically found on the same key as the ` symbol. You would have to press and hold the shift key, then press the ` key in order to use the ~ symbol Dept # The number of the department in which the works Numeric value You can specify the division for the department number by using the tilde (~) symbol between the division and the department. For example: Atlanta Division~1234 If you do not specify a division, this department is created in the s primary division. For example: 1234 Import Manager Application in Compliance

89 Field Description Format Example Dept Name Dept Head Job Title Hire Date The name of the department in which the works The number of the head of the department in which the works The 's job title. This field matches existing lookup table values The date the was hired Alphabetical value You can specify the division for the department name by using the ~ symbol between the division and the department. For example: Atlanta Division~Human Resources If you do not specify a division, this department name is created in the s primary division. For example: Human Resources Maximum Characters: 50 Numeric value Alphabetical value based upon your Lookup Table Values Maximum Characters: 50 Numeric field mm/dd/yyyy Import Manager Application in Compliance

90 Field Description Format Example User Groups A list of User Groups associated with this Alpha/numeric value based upon the User Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. Group 2 For example: Atlanta Division~Group 1 Use the symbol to separate groups. For example: Group 1 Group 2 Atlanta Division~Group 3 Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Remove Existing User Groups Enter Yes in this field to Remove all existing User Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the User Groups specified in this template. Yes Module Groups A list of Module Groups associated with this Alpha/numeric value based upon the Module Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Claims Auditor Access Use the symbol to separate groups. For example: Claims Auditor Access Incidents Access Policies Access Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Import Manager Application in Compliance

91 Field Description Format Example Remove Existing Module Groups Enter Yes in this field to Remove all existing Module Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the Module Groups specified in this template. Ignore Login Name if one exists Enter Yes in this field to use the 's existing login name, if found Yes or No A value other than Yes allows the import to overwrite the existing login name. Login Name Password The user's login name The user's password Alpha/numeric value Maximum Characters: 50 Note: If this field is used, the Password field must also be used. Alpha/numeric value This field is only functional with new user accounts. Maximum Characters: 24 Password Expiration Days The number of days until the password expires Note: While this is not a required field for importing the Employee IMA Template, if you enter information in the Login Name field, you must enter information in the Password field. Numeric value For example: 090 Import Manager Application in Compliance

92 Field Description Format Example Must Change Password Enter Yes in this field to require the to change the password at the first login. Yes or No A value other than Yes does not require a password change. Must Verify Challenge Questions Login Start Date Login End Date Theme Enter Yes in this field to require the to force users to verify challenge questions on next login. The first day the can log in The last day the can log in The 's theme Yes or No A value other than Yes does not require password verification. Numeric field mm/dd/yyyy Numeric field mm/dd/yyyy Alpha/numeric value based upon the theme that exists within the Compliance 360 application. Missing values are not created if you select the Create Missing Fields option. Import Manager Application in Compliance

93 Field Description Format Example Time Zone The time zone where the works Numeric and symbol value This field must be a number between -12 and +12. Time zones are calculated based on Greenwich Mean Time (GMT) using this formula: TimeZone = GMT + n" where n specifies the variable shown in the formula. For example: Eastern Time is 5 hours behind GMT; therefore, n = - 5. In this example, enter -5 in this field. Delete Employee Deactivate Account Employee Type Enter Yes in this field to delete this Enter Yes in this field to deactivate the 's account. This field matches existing lookup table values. Yes or No A value other than Yes does not delete the. You can later reinstate the by re-importing the record. Additional properties are unaffected when an is deleted. Yes or No A value other than Yes does not deactivate the account. Additional properties are unaffected when an account is deactivated. Alphabetical or numeric value based upon your Lookup Table Values. Import Manager Application in Compliance

94 Field Description Format Example Division Workflow Team Groups Remove Existing Division Workflow Team Groups Alternate Employee Numbers A list of Division Workflow Team Groups associated with this. Enter Yes in this field remove the existing division workflow team groups associated with this. Additional numbers associated with this. Alpha/numeric value based upon the Division Workflow Team Groups that exist within the Compliance 360 application. If there is a Group and Sub-Group, use the \ symbol as the separator. For example: Office Group 1\Sub1 Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Office Group 1 Use the symbol to separate groups. For example: Office Group 1 Office Group 2 Office Group 3~Sub1 System Groups cannot be used. Yes or No A value other than Yes does not remove the existing division. Additional properties are unaffected when an account is deactivated. Numeric value Use the symbol to separate multiple numbers. For example: Key Considerations Scenario 4 The key considerations listed with an profile update also apply to this scenario. To change an 's divisions, enter the new divisions. For example: An is currently assigned to the Atlanta Division, North Location and East Location as well as the Macon Division, North Location and East Location. The new assignment is the Atlanta Division, North Location as well as the Macon Division, North Location. In the Division column, enter Atlanta Division North Import Manager Application in Compliance

95 To change an 's group information, remove the user from all currently assigned groups by entering Yes in the column indicating you want the removed. Then, in the column for listing the 's groups, enter the new groups even if there is an overlap. For example: An is currently assigned to the Claims Auditor and Incidents Module Groups. The new assignment is the Claims Auditor and Internal Audit Module Groups. In the Remove Existing Module Groups column, enter Yes. This removes the from the existing module groups. In the Module Groups column, enter Claims Auditor Incidents. This assigns the to the Claims Auditor and Incidents Module Groups. If you are changing the Department # and Name, they must match the existing Compliance 360 values. For example: The existing Department Name is Human Resources. In the worksheet table, you enter HR in the Department Name column. Depending on the Console Settings, the import creates a new department for HR. The Password is only importing when you enter new information, such as Scenario 1. The Password column information cannot be updated through the Import Manager Application. Example Template Scenario 4 This example IMA Employees Legacy Template displays information for the five s hired at the ABC Company in Scenario 1. The Excel file contains five rows of information representing the five s. The information entered in the columns for these s is based upon the changes required for the s, such Module Groups, User Groups, etc. When you enter information in the Employees Legacy Template worksheet, an Employee ID must be entered for each. For this example, the organization made a decision to use the same value as the Employee Number. For example, if the Employee Number is 4401, the Employee ID is also To update the information, the Employee Number must match the Employee Number in the Compliance 360 application. Betty J Franklin's job responsibilities have changed. She is now assigned to a sub-division within the Atlanta Division and is in a different User Group. Information Current New Divisions Atlanta Division Atlanta Division, Sub-Division North Location User Group Group 1 Group 2 Module Group Claims Auditor Access No Change Division Workflow Team Groups Office Group 1 No Change John Smith's job responsibilities have changed. He is now assigned to a second Division and Sub-Division and is in a different User Group. Additionally, he is now included in the Module Group for Policies. Import Manager Application in Compliance

96 Information Current New Divisions Atlanta Division, Sub-Division North Location Atlanta Division, Sub-Division North Location; Division = Macon Division, Sub-Division North Location User Group Group 1 Group 2 Module Group Claims Auditor Access and Incidents Access Claims Auditor Access, Incidents Access, and Policies Access Division Workflow Team Groups Office Group 1 and Office Group 2 No Change Tom Williams has been promoted as a Supervisor. There is no change to his divisions or groups; only his Job Title has changed. Information Current New Divisions Atlanta Division; Sub-Division North Location and South Location No Change User Group User Group = Group 1 and Group 2 No Change Module Group Claims Auditor Access and Incidents Access No Change Division Workflow Team Groups Office Group 1 and Office Group 2 No Change Marie Doe has reduced her hours at work. To accommodate a shortened day, she is now only assigned to the Atlanta Division, North Location Sub-Division. Information Current New Divisions Atlanta Division; Sub-Division North Location and South Location Atlanta Division, Sub-Division North Location User Group User Group = Group 1 No Change Module Group Incidents Access No Change Division Workflow Team Groups Office Group 2 No Change Jane Jones has been promoted as a manager. She is responsible for another Sub-Division. Additionally, she has been assigned to the Policies Module Group and Office 3 Division Workflow Team Group. Information Current New Divisions Atlanta Division, Sub-Division South Location Atlanta Division, Sub-Division South Location and North Location User Group User Group = Group 1 and Group 2 No Change Import Manager Application in Compliance

97 Information Current New Module Group Claims Auditor Access and Incidents Access Claims Auditor Access, Incidents Access, and Policies Access Division Workflow Team Groups Office Group 1 and Office Group 2 Office Group 1, Office Group 2, and Office Group 3 Click here to view the example Employees Legacy Template for updating role information. Employee profile information includes basic or user information such as the name, phone number, address, etc. Employee role information includes module and user group changes, workflow team groups and more. While there is no real difference in using the Employees Template worksheet table, for the purpose of these scenarios, it is easier to separate examples of updating basic profile information from an employes's role information. Scenario 5 - Deactivating Employees and Users This scenario provides suggestions for entering information in the worksheet table for s and users that are already in the Compliance 360 application and now have to be deactivated. These are s and users that are no longer active in your organization. You can enter information in the worksheet table to deactivate the. You can also enter information to remove the from divisions, user and module groups, and division workflow team groups if necessary. Note: The must be assigned to at least one division. Consider creating a division titled Former Employees. The table below displays the fields and descriptions for the Employees Legacy Templates Employees Worksheet Table. The Example column displays the typical information you might enter for deactivating s and users in the Compliance 360 application. Field Description Format Example Employee ID Required field. A unique ID value used for this import. Each on this template tab must have a unique ID Numeric value 4401 Import Manager Application in Compliance

98 Field Description Format Example Employee Number Required field. The Employee ID number that exists in the Compliance 360 application Numeric value If multiple s share this number, the is not imported. Maximum Characters: Employee Status The status. This field matches existing lookup table values. Alphabetical or numeric value based upon your Lookup Table Values Maximum Characters: 50 Salutation The 's salutation Typically Mr, Mrs, Ms, etc. Maximum Characters: 25 First Name Required field. The 's first name Alphabetical value Maximum Characters: 30 Betty Middle Initial The 's middle initial Alphabetical value Maximum Characters: 10 J Last Name Required field. The 's last name Alphabetical value Maximum Characters: 30 Franklin Phone The 's telephone number Numeric value. Use any standard format: (770) characters maximum Import Manager Application in Compliance

99 Field Description Format Example Fax The 's FAX number Numeric value. Use any standard format: (770) Maximum Characters: 20 The 's address Alpha/numeric value # Using the # sign in this column removes the address. 50 maximum characters Send Digest Message? Enter Yes in this field to select the Send Digest Message option for this Yes or No A value other than Yes deselects this option. Company Name The employing company's name Alpha/numeric value Maximum Characters: 50 Import Manager Application in Compliance

100 Field Description Format Example Divisions Required field. The divisions in which records are created. The first being primary division. Alpha/numeric value If there are multiple divisions, use the symbol as the separator. For example: Atlanta Division Macon Division Savannah Division If there is a Division and Sub-Division, use the \ symbol as the separator. For example: Atlanta Division\North If you are deactivating an, the must be associated with at least one division. If the Compliance 360 application, you might want to create a division titled Former Employees. Former Employees Division Symbol Notes: The symbol is found on your computer keyboard, typically above the Enter key, usually on the right side of a keyboard. This is called the pipe symbol. It is typically found on the same key as the backward slash \. You would have to press and hold the shift key, then press the \ key in order to use the symbol. The \ symbol is found on your computer keyboard, typically above the Enter key, usually found on the right side of a keyboard. This is called the backward slash. Press the \ key to use the backward slash. The ~ symbol is found on your computer keyboard, typically before the number 1 key, usually on the left side of a keyboard. This is called the tilde symbol (rhymes with Hilda). It is typically found on the same key as the ` symbol. You would have to press and hold the shift key, then press the ` key in order to use the ~ symbol Dept # The number of the department in which the works Numeric value You can specify the division for the department number by using the tilde (~) symbol between the division and the department. For example: Atlanta Division~1234 If you do not specify a division, this department is created in the s primary division. For example: 1234 Import Manager Application in Compliance

101 Field Description Format Example Dept Name The name of the department in which the works Alphabetical value You can specify the division for the department name by using the ~ symbol between the division and the department. For example: Atlanta Division~Human Resources Dept Head Job Title Hire Date The number of the head of the department in which the works The 's job title. This field matches existing lookup table values The date the was hired If you do not specify a division, this department name is created in the s primary division. For example: Human Resources Maximum Characters: 50 Numeric value Alphabetical value based upon your Lookup Table Values Maximum Characters: 50 Numeric field mm/dd/yyyy User Groups A list of User Groups associated with this Alpha/numeric value based upon the User Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Group 1 Use the symbol to separate groups. For example: Group 1 Group 2 Atlanta Division~Group 3 Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Import Manager Application in Compliance

102 Field Description Format Example Remove Existing User Groups Module Groups Remove Existing Module Groups Enter Yes in this field to Remove all existing User Groups associated with the. A list of Module Groups associated with this Enter Yes in this field to Remove all existing Module Groups associated with the. Yes or No A value other than Yes allows the import to append the database by adding the User Groups specified in this template. Alpha/numeric value based upon the Module Groups that exist within the Compliance 360 application. Use the ~ symbol with local groups to separate the division from the group. For example: Atlanta Division~Claims Auditor Access Use the symbol to separate groups. For example: Claims Auditor Access Incidents Access Policies Access Use the group name for system groups. For example: Administrators Missing values in this field are not created if you select the Create Missing Fields option. Yes or No A value other than Yes allows the import to append the database by adding the Module Groups specified in this template. Yes Yes Ignore Login Name if one exists Login Name Enter Yes in this field to use the 's existing login name, if found The user's login name Yes or No A value other than Yes allows the import to overwrite the existing login name. Alpha/numeric value Maximum Characters: 50 Note: If this field is used, the Password field must also be used. Import Manager Application in Compliance

103 Field Description Format Example Password The user's password Alpha/numeric value This field is only functional with new user accounts. Maximum Characters: 24 Password Expiration Days Must Change Password Must Verify Challenge Questions Login Start Date Login End Date Theme The number of days until the password expires Enter Yes in this field to require the to change the password at the first login. Enter Yes in this field to require the to force users to verify challenge questions on next login. The first day the can log in The last day the can log in The 's theme Note: While this is not a required field for importing the Employee IMA Template, if you enter information in the Login Name field, you must enter information in the Password field. Numeric value For example: 090 Yes or No A value other than Yes does not require a password change. Yes or No A value other than Yes does not require password verification. Numeric field mm/dd/yyyy Numeric field mm/dd/yyyy Alpha/numeric value based upon the theme that exists within the Compliance 360 application. Missing values are not created if you select the Create Missing Fields option. Import Manager Application in Compliance

104 Field Description Format Example Time Zone The time zone where the works Numeric and symbol value This field must be a number between -12 and +12. Time zones are calculated based on Greenwich Mean Time (GMT) using this formula: TimeZone = GMT + n" where n specifies the variable shown in the formula. For example: Eastern Time is 5 hours behind GMT; therefore, n = - 5. In this example, enter -5 in this field. Delete Employee Deactivate Account Employee Type Enter Yes in this field to delete this Enter Yes in this field to deactivate the 's account. This field matches existing lookup table values. Yes or No A value other than Yes does not delete the. You can later reinstate the by re-importing the record. Additional properties are unaffected when an is deleted. Yes or No A value other than Yes does not deactivate the account. Additional properties are unaffected when an account is deactivated. Alphabetical or numeric value based upon your Lookup Table Values. Import Manager Application in Compliance