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Maintain Custom Agent Determination Rules

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Use

In this Customizing activity, you can specify the aget determination rules for business events to be used in Process Control and Risk Management.

A business event is used during recipient determination in workflow-driven scenarios. When the workflow reaches a certain business event requiring the user to carry out a specific action, the configuration triggers the agent determination rule with the business event defined for it and the role assigned to it.

In this way the users assigned to roles and objects can be specified as workflow recipients.

Requirements

  • For Risk Management and Process Control, the entities need to be assigned to the corresponding roles in the Customizing activity Maintain Entity Role Assignment.
  • The corresponding users must be assigned to the roles in the Role Assignment application of the object, for example the risk in Risk Management and the business process in Process Control.

  Activities 

  1. 1. To create a new business event, click on New Entries.
  2. 2. Select a business event from the dropdown list.
  3. 3. In the Sort column, select the sequence in which the business event is to be called. If you enter nothing here, this item will automatically be sequenced with 0 (zero).
  4. 4. Select a role to be used with the business event, as well as an entity type and subtype for it. Note that for most subtypes, no entities can be selected. The entity and subtype are optional.
  5. 5. Save the entry.

Example

The following is a list of the business events (agent slots) to be used in the workflow.

Caution: Not all business events are associated with Planner activities; business events without associated Planner activities are indicated with an asterisk (*) following the technical name.

  • 0FN_AHISSUE_DEFAULT_PRC * (Default Processor for Ad-Hoc Issue):
    Determines the default owner of an ad-hoc issue.
  • 0FN_AM_BRFP_NOTIFY * (AMF Event BRF Plus Notification):
    This Continuous Monitoring subscenario supports the sending of a notification. When a user searches for the recipient using a customer agent rule, this business event will find the recipient.
  • 0FN_ISSUE_NOTIFY * (Notify Owner of Ad-Hoc Issue):
    Notifies the owner of ad-hoc issue when an issue is resolved.
  • 0FN_MDCHG_APPR * (Approver for Master Data Change):
    Determines the approver of requests for changes to master data.
  • 0FN_MDCHG_NTFY * (Notify of Master Data Change):
    Defines the users to be notified about changes to master data.
  • 0FN_MDCHG_NTFY_L * (Notify of Local Master Data Change):
    Defines the users to be notified about changes to local master data.
  • 0FN_POLICY_APPROVE * (Approve Policy):
    Determines the users that approve a policy.
    The recipient list also includes users defined in the 0FN_POLICY_DEFAULT_APPR business event.
  • 0FN_POLICY_DEFAULT_APPR * (Default Approver for Policy):
    Determines the users that approve a policy.
  • 0FN_POLICY_REVIEW * (Review Policy):
    Determines the users that review a policy.
  • 0PC_CONTROL_PROPOSAL_APPR * (Approver of Proposed Control):
    Determines the recipients that approve a control proposal.
  • 0PC_PERF_AOD (Perform Aggregation of Deficiencies):
    Determines the recipients of a control risk assessment scheduled in the Planner.
    Planner activity: Perform Aggregation of Deficiencies
  • 0PC_PERF_ASSESSMENT (Perform Assessment):
    Determines the recipients of several assessments scheduled in the Planner.
    Planner activities: Perform Control Design Assessment (CD); Perform Self-Assessment (CE); Perform Subprocess Design Assessment (PD)
  • 0PC_PERF_CRA (Perform Control Risk Assessment):
    Determines the recipients of an indirect entity-level control assessment scheduled in the Planner.
    Planner activity: Perform Control Risk Assessment
  • 0PC_PERF_IELC_ASSESSMENT (Perform Indirect Entity-Level Control Assessment):
    Determines the recipients of an indirect entity-level control assessment scheduled in the Planner.
    Planner activity: Perform Indirect Entity-Level Control Assessment
  • 0PC_PERF_IELC_TESTING (Perform Indirect Entity-Level Control Testing):
    Determines the recipients of an indirect entity-level control test scheduled in the Planner.
    Planner activity: Test of Indirect Entity-Level Control Effectiveness
  • 0PC_PERF_RISK_ASSESSMENT (Perform Risk Assessment):
    Determines the recipients of a risk assessment scheduled in the Planner.
    Planner activity: Perform Risk Assessment
  • 0PC_PERF_SIGNOFF (Perform Sign-Off):
    Determines the recipients of a sign-off scheduled in the Planner.
    Planner activity: Perform Sign-Off
  • 0PC_PERF_TESTING (Perform testing):
    Determines the recipients of a performance test scheduled in the Planner.
    Planner activity: Test Control Effectiveness
  • 0PC_RECE_ESCALATION * (Receive Escalations of Workflow):
    Enables user to select escalation recipients for overdue workflow items.
    For more information, see the documentation of the Customizing activity
    Maintain Workflow for Reminders and Escalations.
  • 0PC_RECE_ISSUE * (Default Issue Owner):
    Determines the recipients of a monitoring issue. When a user manually assigns the issue owner,
    this business event determines the default issue owner.
  • 0PC_RECE_REM_PLAN * (Default Remediation Plan Owner):
    Determines the default remediation plan owner.
  • 0PC_VALI_ASSESSMENT * (Review Assessment):
    Determines the users that review several assessments.
  • 0PC_VALI_CAPA_EXEC * (Review CAPA Execution):
    Determines the users that review the CAPA execution.
  • 0PC_VALI_CAPA_PLAN * (Review CAPA Plan):
    Determines the users that review a CAPA plan.
  • 0PC_VALI_CRA * (Review Risk Control Assessment):
    Determines the users that review a risk control assessment.
  • 0PC_VALI_IELC_ASSESSMENT * (Review Entity-Level Control Assessment):
    Determines the users that review an indirect entity-level control assessment.
  • 0PC_VALI_IELC_TESTING * (Review Indirect Entity-Level Control Testing):
    Determines the users that review indirect entity-level control testing.
  • 0PC_VALI_RISK_ASSESSMENT * (Review Risk Assessment):
    Determines the users that review risk assessments.
  • 0PC_VALI_TESTING * (Review Testing):
    Determines the users that review risk control assessments.
  • 0RM_ACTIVITY_SURVEY (Activity Survey):
    Determines the recipients of an activity survey scheduled in the Planner.
    Planner activity: Perform Activity Survey
  • 0RM_ACTIVITY_VALIDATE (Activity Validation):
    Determines the recipients of an activity validation scheduled in the Planner.
    Planner activity: Perform Activity Validation
  • 0RM_COLLAB_ASSMNT_SUB (Contribute to Collaborative Risk Assessment):
    Determines who will participate in a collaborative risk assessment.
    Planner activities: Perform Collaborative Risk Assessment; Perform Collaborative Risk Assessment via Survey
  • 0RM_COLLAB_ASSMNT_TOP (Consolidate Collaborative Risk Assessment):
    Determines the consolidator of a collaborative risk assessment.
    The user (consolidator) tracks the progress of a collaborative risk assessment.
    After the assessment is completed, the user consolidates the results.
    Planner activities: Perform Collaborative Risk Assessment; Perform Collaborative Risk Assessment via Survey
  • 0RM_INCIDENT_VALIDATE * (Incident Validation):
    Determines multiple groups of validators for an incident. A
    fter an incident is created and submitted, a validation workflow item is sent to all members of the first group.
    Once a member of the first group approves the incident, the members of the next group receive the validation item, and so on.
    The incident is validated once a member from each group has approved it.
    If a user sends the item to be reworked, the process starts over with the first group.
  • 0RM_KRI_LIAISON * (KRI Liaison):
    Determines the workflow recipients for KRI implementation requests and KRI localization requests.
  • 0RM_KRI_NOTIFICATION * (KRI Notification):
    Determines the recipients to be notified about violations of business rules maintained for one or multiple KRI instances.
  • 0RM_KRI_SURVEY (Risk Indicator Survey):
    Determines the recipients of a key risk indicator survey scheduled in the Planner.
    Planner activity: Perform Risk Indicator Survey
  • 0RM_OPP_ASSESSMENT (Opportunity Assessment):
    Determines the recipients of an opportunity assessment scheduled in the planner.
    Planner activities: Perform Opportunity Assessment; Perform Opportunity Assessment via Survey
  • 0RM_OPP_VALIDATE (Opportunity Validation):
    Determines the recipients of an opportunity validation scheduled in the Planner.
    Planner activity: Perform Opportunity Validation
  • 0RM_RESP_AHISSUE_UPDATE * (Issue Status Change Response Update):
    Determines who receives e-mail notifications about updated response completeness, based on an issue status change. Note: By default, the response owner receives the workflow; however, a different user can be designated as the recipient by applying a custom rule (activity Maintain Custom Agent Determination Rules).
  • 0RM_RESP_CONT_UPDATE * (Process Control Response Update):
    Determines who receives e-mail notifications about updated response completeness or effectiveness,
    based on a process control rating change. Note: By default, the response owner receives the workflow; however, a different user can be designated as the recipient by applying a custom rule (activity Maintain Custom Agent Determination Rules).
  • 0RM_RESP_POLICY_UPDATE * (Policy Status Change Response Update):
    Determines who receives e-mail notifications about updated response completeness,
    based on a policy status change. Note: By default, the response owner receives the workflow; however, a different user can be designated as the recipient by applying a custom rule (activity Maintain Custom Agent Determination Rules).
  • 0RM_RESPONSE_UPDATE (Response Validation):
    Determines the recipients of a response update scheduled in the Planner. Note: By default, the response owner receives the workflow; however, a different user can be designated as the recipient by applying a custom rule (activity Maintain Custom Agent Determination Rules).
    Planner activity: Perform Response Update
  • 0RM_RISK_ASSESSMENT (Risk Assessment):
    Determines the recipients of a risk assessment scheduled in the Planner.
    Planner activities: Perform Risk Assessment; Perform Risk Assessment via Survey
  • 0RM_RISK_PROPOSE * (Risk Proposal):
    Determines the risk management expert who will judge if a proposed risk should be validated.
  • 0RM_RISK_SURVEY (Risk Survey):
    Determines the recipients of a risk survey scheduled in the Planner.
    Planner activity: Perform Risk Survey
  • 0RM_RISK_VALIDATE (Risk Validation):

Eskom Configuration:Not UsedRisk Management (RM) and Process Control (PC)

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