Managing workflows in Risk Manager

Workflows manage how different objects in Risk Manager such as risks, controls, processes, and objectives move through their life cycles.

How it works

Each library object in Risk Manager, such as risk, control, process and, objective, is related to a workflow, through which the object moves.

Workflow statuses

A workflow has a series of statuses that represent the various states of an object as it moves through its life cycle in Diligent One. The various statuses of a workflow are as follows:

• Draft (default status)

• Identification

• Analysis

• Assessment

• Response

• Approval

• Monitoring

• Archive

You cannot delete the default status of a workflow. Statuses can be linear. For example, if you want to assess a risk periodically, you

can move its status from Approval back to Assessment. Objects are not required to advance through the entire workflow.

Events and handlers

Each status in a workflow can be related to an event, which further can be related to a handler. However, events and handlers can also run indepedently, such as with a script or a questionnaire response.

• An event is a link between a status and a handler, and also allows a status to transition to another. An event appears as a button on Risk Manager's visual workflow, which you can use to transition an object to the next status.

• A handler is a set of conditions and actions. When a handler runs, it checks its conditions, and if the conditions are met, it performs its actions. For example, you can use a handler to alert someone of a change or problem in a risk or control.

With events and handlers, you can automate activity or enforce rules on your objects. For example, you can check to ensure that the required attributes are filled in, or reject a vendor based on their response to the questionnaire.

Create workflows with existing components

The objects in Risk Manager (risk, control, processes, and objectives) move through various statuses throughout their life cycle. By designing a workflow structure, you can manage and help automate their life cycles with minimal manual intervention for maximum efficiency.

Prerequisites

Before you create a workflow, ensure that you have access to the events and handlers that you want to use in the workflow. For more information, see Create events and Create handlers.

Here is how you can create a workflow:

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click the Workflows tile. The Workflows page is displayed.
4. Click + Add Workflow. The Add new workflow dialog box appears.
5. Give your workflow a name and optionally add a description.
6. Click Add Workflow. Your newly-created workflow opens in a workflow details page with a General Information area followed by blank Statuses, Asset types, Events, and Handlers areas. You can change the name or description of the workflow in the General Information area. Click Edit and make the required changes. You can also lock the workflow.
Note

Static fields such as the Workflow ID, API name, Created at and Updated at are system created and cannot be changed.

• A Workflow ID is the technical, unique ID for this particular workflow in the organization. It is used to relate it to other resources.
• An API name is the unique name for a workflow in the organization. It is used to ensure toolkits and scripts are not creating copies of the same workflow.
• Locked workflows can be edited but cannot be deleted. Locked workflows are typically workflows created by Diligent One or workflows locked by a system admin.

• The No Workflow is a system-controlled default workflow. When creating an asset type or record type, if no other workflow exists in the organization, this default workflow will be assigned. It has only one status: N/A. This system-controlled workflow cannot be updated or deleted.

7. Click Save. Your changes appear on the workflows details page.

Add statuses to a workflow

After you create a workflow, you must add statuses to it for the Risk Manager objects (risk, control, process, and objective) to move through.

Here is how you can add statuses for each object life cycle:

1. Click + Add Status.
2. In the Add new status dialog box, enter a name, description (optional), and the sequence (the order field) of the status.
   Note

   The order number of statuses indicates their sequence. Ensure that the order number aligns with the correct sequence of the object life cycle. If you are not sure of the sequence as you create statuses, include a placeholder number and update the sequence later. See Editing a status' general information.

3. Click Add Status. The status details page appears.
4. Repeat these steps for the rest of the statuses that you want to add. The statuses appears in a table in the Statuses area of the Workflows page. The table displays the status name, description, and its order.

Add events to statuses from the Workflows page

You can associate events with statuses to move an object from one status to another. An event links a status to handlers. You can add events to workflows using the Workflows or Events page. If you use the Workflows page, you can link only events. Whereas, if you use the Events page, you can link events and handlers to workflows. See Add events and handlers to statuses from the Events page, below.

Here is how you can add events to statuses from the Workflows page:

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select the Workflows tile. The Workflows page appears.
4. Select the workflow you would like to work in. The workflow details page appears.
5. Select the name of the status you would like to link an event to. The status details page appears.
6. To add events to a status, select Manage linkages. From the Manage links page, you can search the Link Event dropdown menu to find the events you want to associate the status with.
7. Select an event and click Link. The now linked event details are displayed in a table. Details include event type, shared, position, admin name, and description.
8. (Optional) Repeat steps 7 to add additional events.

Add events and handlers to statuses from the Events page

You can associate events with statuses to move an object from one status to another. An event links a status to handlers. From the Events page, you can link events, link handlers, and reorganize the run sequence of the handlers.

Here is how you can add events and handlers to statuses from the Events page:

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select Events.
4. From the list of events, select the event that you want to link. The details page of the event appears.
5. Click Manage linkages.
6. On the Manage Links page, do the following:
   1. From the respective menus, select the workflow and status that you want to link to the event and click Link. The details of the event are displayed in the table. You can view information such as the name of the event, the workflows and statuses with which the event is shared, and so on.
   2. From the menu, select the handler that you want to link and click Link.
   3. (Optional) If you link multiple handlers, they are added in sequence. To rearrange the handlers, on the Manage links page, drag and drop them in the sequence that you want.

Editing the general information for a status

Here is how you can edit the general information for a status:

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select Workflows. The Workflows page appears.
4. Select the workflow you would like to work in.
5. In the workflows details page, select the name of the status you would like to edit.
6. In the status details page, do the following:
   1. You can change the name, description, color and order number in the General Information area. Click Edit and make the required changes.
   2. You can also lock the status, set it as a default, and/or hide the status in the status tracker.
Note
You cannot modify system generated fields such as the Status ID, Created at and Updated at.
• A Status ID is the unique ID for this particular status in the organization and is used to relate to objects. When setting a transition status action for a handler, provide this ID where required in the side panel.
• The order number of statuses indicates their sequence. Ensure that the order number aligns with the correct sequence of the object lifecycle.
7. Click Save. Your changes appear on the status details page.

Editing the linked objects for a status

Here is how you can edit linked objects for a status:

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select Workflows. The Workflows page appears.
4. Select the workflow you would like to work in.
5. In the workflow details page, select the name of the status you would like to edit.
6. In the status details page, do the following:
   1. To add or remove events that are linked to a status, click Manage linkages.
   2. In the Manage links page:
• To add events, select an event from the Link Event dropdown menu and click Link. You can view details such as event type, shared, position, admin name, and description in the table.
• To remove events, click Unlink. The event is no longer listed in the table.

Creating event triggers for field updates

A trigger is the action required to set off an event. Triggers can set off notifications and run robots. They invoke events that cause handlers to run.

1. Select Events. The events page lists all of the available, existing events.
2. Select an event name. This opens the details page of the event.
3. Select Add Trigger and an Add Trigger side panel appears.
4. On the Add Trigger panel, enter the following details:
   1. Name the trigger.
   2. Select Field Updated as the trigger type.
   3. Enter field names by clicking +Add field names and paste the field names. You can get the field names from the Attribute types page.
5. Select Save

Creating event triggers for questionnaire response

Set off events based on whether a questionnaire receives a response.

1. Select Events. The events page lists all of the available, existing events.
2. Select an event name. This opens the details page of the event.
3. Select Add Trigger and an Add Trigger side panel appears.
4. On the Add Trigger panel, enter the following details:
   1. Name the trigger.
   2. Select Field Updated as the trigger type.
   3. Enter field names by clicking +Add field names and paste the field names. You can get the field names from the Attribute types page.
5. Select Questionnaire Responded.
6. Add questionnaire IDs.
   1. Go to Launchpad.
   2. Open the Results app.
   3. Select the collection name with the questionnaire you want to associate with this trigger.
   4. Select the Questionnaires tab. A list of available questionnaires is displayed.
   5. Select the name of the questionnaire you want. The questionnaire details page appears.
   6. In the URL, highlight and copy the questionnaire ID number. The ID number is the collection of numbers after the last forward slash in the URL.
7. Click Save. The newly-added trigger appears in the Triggers area.

Event triggers and actions (causes an event to run)	Notify	Transition Status	Run Robot	Send Questionnaire Manual distribution	Send Questionnaire Automated distribution
Button event click	Yes	Yes	Yes	Yes	No
Field Updated trigger	Yes	No	Yes	N/A	Yes
Questionnaire responded trigger	Yes	No	Yes	N/A	No

Editing event triggers

1. Select the trigger name. The Edit Trigger side panel opens.
2. Make your desired changes, and Select Save. Your changes are applied to the trigger.

Removing event triggers

1. Select the trigger name. The Edit Trigger side panel opens.
2. Select Delete. The trigger is removed from the Trigger area of the event.

Caution

Selecting Delete permanently deletes the trigger.

Create events

An event is a workflow component that acts as a link between a status and a handler. It allows a record to move from one status to another.

Here is how you can create events:

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select Events. The events page listing all of the available, existing events opens.
4. Select + Add Event.
5. In the Add new event dialog box, enter the following details:
   • Admin name
   • Description (optional)
   • Event type. The available options are:

     Event type	Description
     Button/Overflow	This is triggered from a status actions list. This is triggered when a status button is clicked from the status dropdown on an object.
     Hidden	These are hidden events that react in response to trigger conditions being met, they can be preset or manually configured.

   • Position
6. Click Add Event. This launches the details page where you can access and/or edit general information, linked objects (statuses and handlers), and triggers.

Editing events

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Select Events. The events list page appears.
4. Select the name of an event you want to edit.
5. In the events details page, do the following:
   1. You can change the name, description, display name, event type and position number in the General Information area. Click Edit and make the required changes.
   2. You can also indicate whether the event is shared.
Note

You cannot change system generated fields such as Event ID, Created at, and Updated at.

If an event is used in multiple workflows, select Shared. This enables tracking of events linked to other workflows.

6. Click Save. Your changes appear on the event details page.

Create handlers

Handlers perform actions if conditions are met. For example, handlers can be used to automate tasks such as sending alerts when an object (risk, control, process, objective) is modified.

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Handlers. The Handlers list page appears.
4. Click + Add Handler and enter a name and description (optional) in the Add new handler dialog box.
5. Click Add Handler.
6. In the handler details page, do the following:
   1. You can change the name, description in the General Information area. Click Edit and make the required changes.
   2. You can also indicate whether the handler is shared.
Note

You cannot change system generated fields such as Handler ID, Created at, and Updated at.

If a handler is used in multiple workflows, select Shared. This enables tracking of handlers linked to other workflows.

7. Click Save. Your changes appear in on the handlers details page.

Linking objects to handlers

1. Select the handler, and from the handler detail page, select Manage linkages. The Manage links page appears.
2. From the Link Event dropdown menu, select the events you want to link with the handler.
3. Click Link. The selected event appears on the Manage links page. You can add multiple events.

Creating handler conditions

1. Select the handler, and from the handler detail page, select Add Condition. The Add Condition side panel appears.
2. (Optional) Enter a name for the handler.
3. Select a condition type. Depending on the condition type selected, do one of the following:
• If you select All fields are required, select the default failure message, and select Save. The newly-added condition appears in the Conditions area.
• If you select Field value comparison, select a Field, select an Operator, and input a Value. Select the default failure message and select Save. The newly-added condition appears in the Conditions area.
• If you select Specific fields are required, add Field names, select the default failure message, and select Save. The newly-added condition appears in the Conditions area.

Handler condition type	Description
All fields required	All required attributes associated with an object must have values.
Field value comparison	Attribute comparison (e.g., risk_score >=5).
Specific fields are required	Selected attribute types must be populated.

4. Choose whether any or all of the following conditions apply from the dropdown under the Conditions area.
5. Choose your preferred action if a condition fails. Select either Stop all handlers for this event or Stop this handler for the current item.
6. Choose the Show the default failure message option.
7. Click Save. Your changes appear in the handlers detail page.

Creating handler actions

1. From the selected handlers detail page, click Add Action. An Add Action side panel appears.
2. (Optional) Enter a name for the action.
3. Select an action type. Depending on the action type selected, different fields are available to fill out. Do one of the following:
• If you select Transition status, add the Status ID, choose the default success message option, and click Save. The newly-added action appears in the Actions area. The Transition status handler action moves an object to a different status in the workflow that you specify. For instructions on how to retrieve the Status ID, see Retrieving and inputting a Status ID for a handler with a transition status action type.
• If you select Notify, this action sends an email to an address you specify. Once selected, add email address, subject, body, and click Save. The newly-added action appears in the Actions area.
• If you select Run robot, add the Task ID of a workflow robot (see Retrieving and inputting a task ID for a handler with a run robot action type), and click Save. The newly-added action appears in the Actions area. A workflow robot allows you to run a custom script to perform custom actions within your Risk Manager environment. For more information, see Working with files in a HighBond robot or a Workflow robot.
• If you select Send questionnaire, you can choose whether questionnaires are released manually or automatically:
  • If questionnaires are being sent manually (e.g., via an API or UI), add questionnaire IDs, add questionnaire context fields, and click Save. Clicking a button, sends a questionnaire to the user of your choosing.
  • If questionnaires are being sent automatically, select a field where the recipient email or user info is stored, add sent questionnaire ID, add questionnaire context fields, and click Save. The newly-added action appears in the Actions area. Automatically send a predefined questionnaire to a specified user and/or email address. The automated distribution type is currently only available when used in conjunction to a hidden event set up with a Field Updated trigger.

Retrieving and inputting a status ID for a handler with a transition status action type

When you want to move an object to another status, you need to specify the Status ID it moves to when the handler that controls these conditions is actioned.

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Workflows. The Workflows page opens.
4. Click the workflow you would like to work in. This opens the workflow details page.
5. Click the status you want the object to move to. This opens the status details page.
6. From the General Information area, highlight and copy the unique identifier under Status ID.
7. Go back to the workflow, click the status you want to move from. This opens the status details page.
8. Click the appropriate event. This opens the event details page.
9. Click the appropriate handler. This opens the handler details page.
10. Click Add Action. The Add Action side panel opens.
11. Optional. Include a name that clearly indicates what the action should accomplish such as "Transition to x status".
12. Select Transition status as the action type.
13. In Status ID, paste the unique identifier of the status the risk or control should transition to.
14. Select the Show the default success message option, and click Save.

Retrieving and inputting a task ID for a handler with a run robot action type

In order to run a robot, you need a task ID.

1. Open Launchpad.
   Note

   If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Open the Robots app.
3. Click Workflow Robots.
4. Select the appropriate robot.
5. Click the task name. The Task details side panel opens.
6. Highlight and copy the Unique identifier number.
7. Go back to the Risk Manager Configuration page, and from the selected handlers details page, click Add Action.
8. Select Run robot as the action type and past the task ID into the Task ID area.
9. Select the Show the default success message option, and click Save.

Editing linked objects connected to handlers

1. Click Manage linkages. This opens the Manage links page.
2. From the Link Event dropdown menu, select events to link to the handler.
3. Click Link. The event you select appears on the Manage links page. You can add multiple events.
4. (Optional) Click Unlink beside any event you want to remove. The event is removed from the table.

Editing handler conditions

1. To edit conditions, click the condition name on the handler details page. The Edit Condition side panel opens.
2. Make your desired changes and click Save. Your changes are applied to the condition. For more details on the changes you can make to handler conditions, see Creating handler conditions.

Removing handler conditions

1. To remove conditions, click the condition name. The Edit Condition side panel opens.
2. Click Delete. The condition is removed from the Conditions area.

Caution

Selecting Delete permanently removes a condition. This cannot be undone.

Editing handler actions

1. To edit actions, click the action name on the handler details page. The Edit Action side panel opens.
2. Make your desired changes and click Save. Your changes are applied to the action. For more details on the changes you can make to handler actions, see Creating handler actions.

Removing handler actions

1. To remove actions, click the action name. The Edit Action side panel opens.
2. Click Delete. The action is removed from the Actions area of the handler.

Caution

Selecting Delete permanently removes an action. This cannot be undone.

Delete workflows and workflow components

You can delete entire workflows when you no longer have use for them and want to keep your environment up to date and organized by removing them. You can also delete workflow components (e.g., statuses and events) as a way of managing and/or iterating on existing workflows. That said, it is important to note that deleting a workflow or a workflow component is permanent and cannot be undone.

Deleting workflows

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Workflows. The Workflows page opens.
4. Click the workflow you would like to delete. This opens the workflow details page.
5. Click Delete. This prompts a Confirm delete? dialog box with a warning message.

Caution

If you choose to delete a workflow, it is permanently deleted along with its statuses and links to events. However, linked events and/or handlers will not be deleted. You also cannot delete workflows that are linked to an asset type, asset record type, locked, and/or system controlled.

6. Click Delete. This deletes the workflow which will no longer appear in the list of workflows.

Deleting statuses

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Workflows. The Workflows page opens.
4. Click the name of the workflow you would like to delete. This opens the workflow details page.
5. Click the name of the status you would like to delete. This opens the details page of the status.
6. Click Delete. This prompts a Confirm delete? dialog box with a warning message.

Caution

Selecting Delete permanently deletes the status and any links to events. However, you cannot delete statuses that are linked to an asset type, asset record type, locked, system controlled, and/or with a default status on a workflow.

7. Click Delete. The status is deleted.

Deleting events

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Events. The Events page listing all of the available, existing events opens.
4. Click the name of the event you would like to delete. This opens the events details page.
5. Click Delete. This prompts a Confirm delete? dialog box with a warning message.

Caution

Selecting Delete permanently deletes the event and any linked triggers. This cannot be undone.

6. Click Delete. The event is deleted and no longer listed.

Deleting handlers

1. Open Launchpad.
Note

If your company uses more than one instance in Diligent One, make sure the appropriate instance is active.

2. Select Platform Settings > Configuration.
3. Click Handlers. The Handlers page listing all of the available, existing handlers opens.
4. Click the name of the handler you would like to delete. This opens the handler details page.
5. Click Delete. This prompts a Confirm delete? dialog box with a warning message.

Caution

Selecting Delete permanently removes the handler along with its conditions and actions. This cannot be undone.

6. Click Delete. The handler is deleted.