Certain use cases may be improved by allowing child records to be automatically created and linked to parent records on a regular cadence. Examples of these common use cases are automatically kicking off a risk assessment, control evaluation, or vendor assessment.
A key component of this process is to have a Due Date set at the "parent" level of a parent/child Workflow relationship. For example, if we think about "Controls" and "Control Evaluations," an Evaluation is created with a link to the Control. There could be multiple Control Evaluations linked to a Control over time (Many-to-One Relationship). In this case, the Due Date would be set at the Control record, and would drive when an Evaluation would be automatically created and linked to the Control. Each record can have the same Due Date or a different Due Date, based on your requirements; the system will then kick off child records based on further settings noted below. Read on for further details of how the Due Date and Job work together to make this happen!
Create a Child Record Based on a Predefined Due Date
Create Job and Select a Due Date Trigger
First, you will need to navigate to the Build -> Jobs section in LogicGate. Then, you will need to select the appropriate trigger, which in this case is the Due Date trigger.
The Due Date trigger will trigger a Job at a specified time period before a Due Date, and potentially repeat on a set frequency, if desired.
Let's imagine your organization wants to complete Control Evaluations from a standard controls repository based on predefined control reassessment due dates. First, you will need to set up a Due Date Trigger to define when the reassessment should be kicked off by locating the Workflow and Source Step where the Control Reassessment Due Date is stored - importantly, this will be the Parent Workflow, which the assessment will be created from and mapped to. In our example, this would be in the Control Workflow not the Evaluation Workflow, which is a common misconception.
Next, specify your Execution Period and Frequency as well as the Period End (optional).
The Execution Period will define the number of hours, days, weeks, months, or years in advance of the defined Due Date that the Evaluation should be triggered. For example, if your next assessment is due on January 31st, 2021, but you want the evaluation to be created 3 weeks in advance of this Due Date, you would choose "3 Weeks" as your Execution Period.
The Frequency will define how often this Control Evaluation should be automatically kicked off. In the example above, if Control Evaluations are due on January 31st of every year, we could set the frequency to "1 Year." In this case, it would fire 3 weeks before January 31st every year.
The Period End will define when this Job should no longer fire. If we only want the job to fire 3 weeks before January 31st, 2021, and never fire again, we would set the Period End to "1 Hour" after Due Date - meaning that it will fire 3 weeks prior to January 31st, and then as of January 31st it will not be triggered to fire again.
Add Operation: Create New and Map to Trigger
Upon defining the Due Date trigger, you must then add the 'Create New and Map to Trigger' Operation in order for the system to create the child records. This will allow for a new child record to be created and linked to an existing parent record - which is the "trigger" workflow. In the 'Workflow (Mapped)' drop down, you will need to select the Workflow that you want this record to be created in. For this example, it would be the 'Control Evaluations' Workflow. Once that is set, you will need to select the Step you want to create the record in; we've selected the 'Initiate Control Evaluation' Step in this instance.
The 'Initial Assignee' and 'Due Date' are optional, but if you'd like, you can auto-assign an owner and Due Date for every record created.
The 'Initial Assignee' can be either a Static User or User Field. If a Static User is selected, you can identify the Risk Cloud user to be assigned each time a new record is created via the Job. Alternatively, if a User Field is selected, the record will be assigned to the individual identified in the User Field for the applicable record. User Fields from both the parent and child Workflows are available for use. For example, if the child record being created is an Evaluation, but the control owner is listed at the linked parent Control record, you may choose to reference a control owner User Field from the Control Workflow.
The 'Due Date' Field allows you to set a Due Date for the newly created Control Evaluations. You can set the Due Date to be X number of hours/days/weeks/months/years from the date the Control Evaluation record was created (i.e., the date the Job executes for that record). In the example given in the section above, since the Due Date is being triggered 3 weeks before the Reassessment is due, we would want to set the Due Date of the child record to be 3 weeks in this section - the Evaluation is triggered and created on January 10th (3 weeks before January 31st) and we want the Evaluation to be due on January 31st (3 weeks after the Evaluation is created).
Once all inputs are complete, you can save the Job and it will execute on the defined trigger moving forward.
Adding a Job Condition to Specify Child Record Creation Timing
In certain use cases, you may want to define and limit when child records are automatically created. For example, your organization may have a subset of controls they evaluate on an annual basis and another subset that is evaluated more frequently, such as quarterly. If this is the case, you can add a condition to your Job trigger, based on a discrete Field in your parent Workflow.
Let's imagine you want to limit the Create Control Evaluation Job from above to controls that need to be assessed quarterly. Once you have set up the Job trigger and added the operation in the Steps above and Saved, you can navigate to the conditions button in the "trigger" tab to bring up the conditions modal.
At this point, you can specify the condition you want your Job to execute on. For example, you want to limit this Job to controls with a quarterly evaluation cadence, so you can specify this in your Job condition. Multiple conditions can be added to a job. After adding the conditions, you'll have to option to select the logic type (i.e., And, Or).
In our first example, we described an annual assessment that is triggered based on a January 31st Due Date in the parent Control record, with a frequency of "1 Year." In this example, let's imagine that you have Quarterly assessments due on January 31st, April 31st, July 31st, and October 31st. In this case, you would still set the Due Date within the parent Control record as January 31st, but you would need to update the Frequency of the Trigger to be every "3 Months" for all Controls with an Evaluation Cadence equal to "Quarterly." The system would then trigger for the first time 3 weeks before January 31st, and then again 3 months later, and so on.
Alerting an Individual from a Parent Record User Field
It is best practice, when possible, to use User Fields at the Parent record in order to help automatically assign and alert the appropriate user to the auto-creation of the record. As a reminder, links to records in Job messaging will reference the trigger record. For example, if a link to the trigger record is included in the Job created above, the link would reference the Control record. It is more likely that you would want to direct the initial assignee to the newly created record (i.e., the Evaluation record). To do so, you can pair a Create Job with the Due Date Job to ensure the user has direct access to the Evaluation via the Job message.
First, you will need to navigate to the Build -> Jobs section in Risk Cloud to create the new Job. The appropriate trigger, in this case, is Created. Next, you will need to specify the Workflow and Source Step; for this instance, you should choose to select Control Evaluations as the Workflow and Source Step as Initiate Evaluation. Once the trigger is defined, you can navigate to the message tab to add preferred messaging. Ensure you select the appropriate User Field referenced as the initial assignee in your Due Date Job. Furthermore, consider including the link to the trigger record, so the user has easy access to the work they need to complete.