Adding Stage Rules to Third-Party Due Diligence Workflows

You can add stage rules to your workflows to automatically generate an action based on the details of the third-party. OneTrust supports the creation and management of these rules to provide more control and flexibility to the workflows that you have created in the tool.

The workflow stage rules will be evaluated each time the vendor record reaches the stage in which the rule is configured. The stage rule action will be initiated if the conditions configured are met or if there are no conditions listed on the stage rule.

Note:

When a user is deleted from the application, any Workflow Rules assigned to the deleted user are automatically reassigned.

Available Workflow Stage Rule Actions

Currently, workflow stage rules can be configured to initiate the following actions automatically:

Action

Description

Create Task

Once initiated, this action will add tasks to a third-party record to help define and assign tasks within your organization.

For more information, see Configure Stage Rules to Create Tasks .

Launch Assessment

Once initiated, this action will launch the chosen assessments.

Note:

When assessments are being created via workflow stage rules, the system will verify whether there is already an open assessment using the same template in order to prevent duplicates.

OneTrust recommends using the Respondent-Driven option for assessments launched using this stage rule action.

For more information, see Configure Stage Rules to Launch Assessments .

Launch Integration Workflow
Note:

The ability terminate and re-enable monitoring using integration workflows is available for general use. Re-enabling monitoring can be done but only under the same monitoring template parameters as when monitoring was first enabled.

Once initiated, this action will launch the chosen workflow in the Integrations module.

For more information, see Configure Stage Rules to Launch Integration Workflows .

Send Assessment Report

Once initiated, this action will send an assessment based PDF report to specified recipient(s).

For more information, see Configure Stage Rules to Send Assessment Reports .

Send Inventory Report

Once initiated, this action will send an inventory based PDF report to specified recipient(s).

For more information, see Configure Stage Rules to Send Inventory Reports .

Send Notification

Once initiated, this action will send a notification with the provided message to a specified recipient(s).

For more information, see Configure Stage Rules to Send Notifications .

Update Attribute

Once initiated, this action will update attributes to the value assigned in the rule action configuration section.

For more information, see Configure Stage Rules to Update Attributes .

To add a workflow rule

  1. On the Third-Party Due Diligence menu, select Setup > Workflows.
    The Workflows screen appears.
  2. Click the View button on the workflow tile you would like to configure.
    The Workflows screen appears.
  3. Click on the name of the workflow in which you would like to add a workflow rule.
    Note:

    You can only add Stage Rules to workflows in draft status.

  4. Go to the Stage Rules tab.
  5. Click the Add Rule button.
    Note:

    Stage Rules cannot be configured on the first stage of a workflow.

    The Workflow Rule Customizer appears.
  6. Optional: Configure workflow stage rule conditions. If no condition is configured, the stage rule will be evaluated each time a third-party enters this stage.
    For more information, see Workflow Stage Rule Conditions.
  7. Configure workflow stage rule actions.
    For more information, see Workflow Stage Rule Actions.
  8. Click the Save button to add the workflow stage rule to your third-party workflow.
    Going forward, you can used the toggle on the Stage Rules tab to activate or deactivate the workflow stage rules. If the stage rule is activated, it will run.

Workflow Stage Rule Conditions

Note:

Conditions are not required. If no conditions are configured, the stage rule will be evaluated each time a third-party enters this stage and the workflow stage rule action will initiate.

The workflow stage rule conditions are an optional configuration used to initiate certain actions if any or all of the conditions are met. You can create individual conditions or combine conditions using the Add Condition button to create complex automation logic.

When combining multiple conditions, you can choose whether any of the conditions can be met to initiate the rule action or if all conditions must be met to initiate the action. This section explains how to configure single or multiple conditions to initiate workflow stage rule actions.





Section

Field

Description

General

Rule Name

Enter a name for the workflow stage rule.
Conditions

ALL

If you select ALL, the stage rule will only be initiated if all of the conditions are met.

ANY

If you select ANY, the stage rule will be initiated if any one of the conditions are met.

Condition Block

Conditions

Select the condition(s) that must be met before initiating the workflow stage rule action. The following condition are available to configure:

Aggregate Inherent Risk Level - This condition will launch the stage rule action if the Aggregate Inherent Risk Level of the vendor record matches the level you configured for the condition.

Aggregate Target Risk Level - This condition will launch the stage rule action if the Aggregate Target Risk Level of the vendor record matches the level you configured for the condition.

Assessment Score Profile - By Template - This condition will launch the stage rule action if the assessment score profile of the selected template is less than, greater than, or equal to the value you configured for the condition.

Assessment Stage - By Template - This condition will launch the stage rule action if the assessment stage of the selected template reaches the assessment stage you configured for the condition.

Attribute - This condition will launch the stage rule action if the system or custom attribute you configured for the condition is met.

For some Date type attributes, such as Screening Completed Date or Date of Birth, additional fields for the condition appear:

  • Days Before

  • Days After

When using Date attribute types as conditions, the application considers the Operator field specifications with the Number and Days Before or Days After fields.

For example, if your organization is using Third-Party Due Diligence to monitor legal age compliance for on-the-job activities for new employees, you could use the Date of Birth attribute in a workflow stage rule that triggers a Create Task action to review an individual's age once their birthday nears to make sure they are within legal range.

The following specifications in workflow Stage Rules could help automate this workflow:

Conditions configuration:

  • Trigger: Attribute

  • Select Attribute: Date of Birth

  • Operator: Equal To

  • Number: 7

  • Days Before or Days After menu items: Days Before

Actions configuration:

  • Action: Create Task

  • Name: Enter a name for the task.

  • Description: Enter relevant compliance-related information here.

  • Assignee: Enter the name of the task assignee.

  • Task Collaborators: Enter the names of relevant collaborators here.

  • Deadline: Enter a deadline to complete the task.

For more information about attribute types, see Default Third-Party Attributes.

Related Processing Activity - This condition will launch the stage rule action if the processing activity selected when you configured the condition is met.

Risk by Category - This condition will launch the stage rule action if the risk level and risk category name you configured for the condition is met.

Vendor Organization - This condition will launch the stage rule action if the organization related to the vendor record matches what you configured for the condition.

Attribute

Select the attribute that will be linked to this condition.

Operator

Select the relationship that must be met between the field and value. The following operators are available for each attribute type:

Numerical Single Select:

  • Contains Any

  • Does Not Contain

Numerical Text:

  • Equal To

  • Greater Than

  • Greater Than Or Equal To

  • Less Than

  • Less Than Or Equal To

Formula:

  • Equal To

  • Greater Than

  • Greater Than Or Equal To

  • Less Than

  • Less Than Or Equal To

Value

Select the value that applies to your condition(s).

Add Condition Block

N/A

Click the Add Condition Block button to add more conditions to the workflow stage rule.

Workflow Stage Rule Actions

Configure Stage Rules to Launch Assessments

You can configure stage rules to automatically launch assessments when the specified conditions are met.

Tip:

OneTrust recommends using the Respondent-Driven option for assessments launched using this stage rule action. The Respondent-Driven option ensures the primary record of the assessment is populated or updated based on the response to the primary record question.

To change the assessment template to Respondent-Driven, see Admin-Drive Versus Respondent-Driven Primary Record Method in Templates.



Field
Description
Actions

Select Launch Assessment.

Template Name

Select the assessment template launched by the stage rule.

Deadline

Select a deadline for the assessment completion.

Reminder

Enter the amount of days prior to the deadline you wish to send a reminder.

Approver

Select the approver(s) that will be assigned to the launched assessment. You can select from system users, user groups, or user type attributes.

Respondent

Select the respondent(s) that will be assigned to the launched assessment. You can select from system users or user type attributes.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Launch Integration Workflows

You can configure stage rules to automatically launch the chosen workflow in the Integrations module.

Note:

The Dow Jones system and integrations can only be launched through a workflow stage rule action.



Field
Description
Actions

Select Launch Integration Workflow.

External System

Select Dow Jones.

Integration Workflow

Choose the workflow in which you would like to launch if the action is triggered.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Send Notifications

You can configure stage rules to automatically send a notification with the provided message to a specified recipient(s).



Field
Description
Actions

Select Send Notification.

Recipient(s)

Select the respondent(s) that will be sent the email notification. You can select from system users, user groups, or user type attributes.

Subject

Enter the subject of the notification email. You can click the Add Variables link to add system and custom vendor attributes as dynamic variables.

Body

Enter the body of the notification email. You can click the Add Variables link to add system and custom vendor attributes as dynamic variables.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Create Tasks

You can configure stage rules to automatically add tasks to a vendor record to help define and assign tasks within your organization.



Field
Description
Actions

Select Create Task.

Name

Enter the name of the task that should be created by the stage rule.

Description

Enter a description of the task that should be created by the stage rule.

Assignee

Select the assignee for the task. You can assign the task to System Users or User Type Attributes. You can select from system users or user type attributes.

Task Collaborators

Select the collaborator(s) that will help the assignee complete the task. You can select from system users or user groups.

Deadline

Enter a deadline for the task to be completed.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Send Assessment Reports

You can configure stage rules to automatically send an assessment based PDF report to specified recipient(s).



Field
Description
Actions

Select Send Assessment Report.

Report Template To Use

Select the report template you would like to use when sending the report.

Note:

Only PIA & DPIA Automation report template type can be used.

Assessment Template(s) to Report On

Select the templates to base the report on.

Recipient(s)

Select the recipients that will be sent the report. You can select from system users, user groups, or user type attributes.

All Respondents

Check this box to send the report to all respondents.

All Approvers

Check this box to send the report to all approvers.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Send Inventory Reports

You can configure stage rules to automatically send an inventory based PDF report to specified recipient(s).



Field
Description
Actions

Select Send Inventory Report.

Assessment Template(s) to Report On

Select the templates to base the report on.

Recipient(s)

Select the recipients that will be sent the report. You can select from system users, user groups, or user type attributes.

Add Action

Click the Add Action button to add more actions to the workflow stage rule.

Configure Stage Rules to Update Attributes

You can configure stage rules to update attributes to the value assigned in the rule action configuration section.



Field
Description
Actions

Select Update Attribute.

Attribute(s)

Select the attributes in which you'd like to update once the workflow reaches this stage and any other conditions you configured are met.