Risk Suite Plan Summary

Thursday, 2-Jun-2016

Rich Gottesman

VP Product Management

Spring/Summer 2016

Release Summary

Agenda

Release Summary

Release Timeline

Q&A

Risk Suite

SDRM

Applicability

Spring/Summer 2016 Release Summary

Estimated number of features/topics to be

highlighted in the release notes coming soon.

Number of features highlighted

in this session

Risk Suite

Applicability



Each item discussed today

applies to Risk, OM, or both

(both means “platform” feature)

Some items reviewed today are planned

candidates for Product Feature Videos (posted online)

Today’s discussion will be a

brief visual summary of new features

New

Questionnaire

Features

Spring/Summer 2016 Release Summary

SIG™

Connector

Metrics / SLAs

Policy &

Procedure

Management

Report

Group

Sort

Custom

Dashboards

Report

Caching

Custom

Report

Drilldown

Self-Service

Database

Archives

Properties

Usage Summary

User

Setup

Excel™ Connector

Enhancements

Inactivity

Timeout

Warning

Feature Highlights

User-Defined

Subject Areas

Microsoft Word™

Connector

New

Questionnaire

Features

Spring/Summer 2016 Release Summary

SIG™

Connector

Metrics / SLAs

Policy &

Procedure

Management

Report

Group

Sort

Custom

Dashboards

Report

Caching

Custom

Report

Drilldown

Self-Service

Database

Archives

Properties

Usage Summary

User

Setup

Excel™ Connector

Enhancements

Inactivity

Timeout

Warning

…are shared

User-Defined

Subject Areas

Microsoft Word™

Connector

Objectives

Product Specifics

• Provide out of the box support within ProcessUnity to connect data to MS Word

Document Templates (.dotx files), similar to mail merge functionality

• Enables document-style reporting

• Examples - welcome letters, statement of services, third party contracts, assessment

summary documents, even point-in-time snapshots of context report data.

• Word .dotx contains ProcessUnity field tags (properties & context report cols)

• Upload the MS Word 2010+ template into ProcessUnity, relate it to an object type

• When visiting the record, a new Templates tab appears, with Generation options.

• Generated templates result in a MS Word document (.doc)

• Open immediately, or automatically store in Attachments tab.

Risk Suite

Applicability



1 2 3 4 5 6 7 8 9 10 11 12

Microsoft Word™ Connector

Topic



Create

MS Word Template

and embed tags

Upload to ProcessUnity

MS Word Templates

Set parameters for the

Template

Visit a record and go to

Templates tab

Click generation button

for the desired template

Download resulting

document immediately or

save to Attachments tab.

MS Word 2010 or later

.dotx files

docx

Microsoft Word™ Connector Flow

MS Word Templates – Create the Template

MS Word 2010+ .dotx file

Properties

Context reports

MS Word Templates – Upload Template & Define

MS Word Templates – Generate the Document

Microsoft Word Template

.dotx

Microsoft Word Document

.docx

Generate

MS Word Templates – Before & After

Objectives

Product Specifics

• Provide built-in support for the Shared Assessments Program’s “Standard Information

Gathering (SIG)” questionnaire to increase productivity for SIG customers.

• Simplify creation of SIG and SIG LITE questionnaire templates from the spreadsheet.

• Allow vendors to upload responses from previously completed SIG workbooks, from any

version of the SIG.

• Single button import for SIG and SIG LITE questionnaire template – imports

sections, section instructions, questions, conditional sub-questions, SIG serial #, etc.

• Single button import for SIG and SIG LITE questionnaire responses.

• Version agnostic vendor portal response import (for responses) – uses the standard

SIG Serial Number.

Risk Suite

Applicability



1 2 3 4 5 6 7 8 9 10 11 12

SIG™ Connector

Topic

SIG™

SIG LITE™

SIG Connector (1/2) – Questionnaire Template Upload

One click

loads both

from SIG

workbook

June 2, 2016

SIG Connector (2/2) – Vendor Portal – Import Responses

Imports any version vendor might have

Objectives

Product Specifics

• Continued improvement to questionnaire workflow.

• Ability to send respondents attachments with instructions or templates to fill out.

• Ability to test questionnaire scoring algorithms more easily.

• Ability to display and download all attachments to a questionnaire in one place.

• Ability to export the questionnaire and fill it out in Excel, then reimport.

A. Questionnaire Reference Materials

B. Questionnaire Scoring Preview

C. Questionnaire Attachment Repository

D. Questionnaire Response Import/Export using native Excel (not CSV)

Risk Suite

Applicability



1 2 3 4 5 6 7 8 9 10 11 12

New Questionnaire Features

Topic

A. Questionnaire Reference Materials (1/2)

Building a Questionnaire

Template

Reference

Materials

• Assessment Detail

• Vendor Portal

• Questionnaire Preview

A. Questionnaire Reference Materials (2/2)

Appears in

Questionnaire Preview

Only

B. Questionnaire Scoring Preview (1/2)

Appears in Questionnaire

Preview Only

B. Questionnaire Scoring Preview (2/2)

June 2, 2016

• Assessment Detail

• Vendor Portal

• Questionnaire Preview

C. Questionnaire Attachment Repository

June 2, 2016

• Assessment Detail

• Vendor Portal

D. Questionnaire Import / Export (1/3)

June 2, 2016

D. Questionnaire Import / Export (2/3)

Excel Version of

Exported Questionnaire

Excel Version of

Exported Questionnaire

D. Questionnaire Import / Export (3/3)

Objectives

Product Specifics

• Provide ability to track metrics (aka SLAs) for individual entities

• Clients / Sub-Clients / Client Inventories (Plans)

• Vendors / Vendor Services

• Managed Documents (Contracts)

• Ability to create a library of SLA “Standards” (definition, tolerance levels, owners).

• Ability to copy from Standards library to specific entity (and tweak per contract).

• Ability to import or schedule data collection.

• Ability to track historical measurements and situations vs. tolerance levels.

• Ability to send notifications for exceptions to defined tolerances.

•

Ability to assign, track, and manage penalties based on SLA exceptions.

Risk Suite

Applicability



Metrics / SLAs



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

• by Client

• by Industry

• by Segment

• by Region

• by SLA

• by Period

• by Category

• by Pass/Fail

Many Dimensions for SLA Management and Tracking in ProcessUnity, examples include:

• by Tracking Status

• by Situation (Level)

• by Owner / Responsibility

• by Failure (# or $)

Defined

SLA “Standards”

Standard

SLA

Definition

Tolerance

Penalties

Assign (copy) additional

Standard SLAs

Create a custom

Metric/SLA

Client-specific

SLAs

Add, Delete, View

Client SLAs

Optionally override

Client SLA

based on contracts /

agreements

View / Edit -

Specific Client SLA

Schedule recurring

SLA Measurements

Measurements can be:

• Scheduled, reminded, and

entered manually (this method)

• Imported in bulk (more likely)

Generate Metric Data

rows for this Metric

1. All defined SLA Standards in system

• How many clients are using them.

2. SLA Standards and Clients using them.

• Highlighting overrides (tolerances)

SLA Sample Reports (1/5)

3. Show client SLAs vs the Standard and who is deviating and how.

SLA Sample Reports (2/5)

4. Status of SLA data collection by client, with latest

measurement shown, and custom drilldown to details

SLA Sample Reports (3/5)

5. Show all measurements made by client, by metric,

and by date – drilldown to trend chart.

SLA Sample Reports (4/5)

SLA Sample Reports (5/5)

6. Penalties by SLA type and timeframe

Objectives

Product Specifics

• Enhance Excel Connector by offering Filter support to connected Custom Reports.

• Access Run Time Filters already defined on the Custom Report.

• Allow a workbook to share a common set of filters across all tab-connected reports.

• Provide build-in acknowledgement for Excel-based filters as well.

• Allow OM mappings-based Import Templates to work with Excel Connector.

• New filter button in Excel Connector (requires download to latest version).

• Tie run time filters on reports to cell values elsewhere in Excel.

• Filters in use - optionally displayed in Excel worksheet once report is run.

• Excel-based filters are preserved on refresh.

Risk Suite

Applicability



Excel Connector Enhancements



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Excel Connector - Recap (1/6)

ProcessUnity

Run Time

Filters

Excel Column Filters

Excel Connector - Filter Support (2/6)

Two kinds of Filters in supported in Excel Connector

1. Excel Column Filters………………….Data/Filters

ProcessUnity Run Time Filters……....ProcessUnity/Filters

Run Time Filter popup accesses

your own worksheet of

[shared] filter values

Excel Connector - Setting up Run Time Filters (3/6)

Once filters are set, the next Refresh from ProcessUnity

will extract the report with filters applied.

Excel Connector - Refresh Sheet - Applies Filters (4/6)

Option Definition

Enable Excel Column Filters Turns on/off the Excel-based Column Filters

Preserve Excel Column Filters on Refresh If using Excel Column Filters, values won’t be lost on ProcessUnity refresh

Display Run Time Filter Values in First Row Turns on Run Time Filter text summary in row 1 (above column headings)

Excel Connector - Filter Options (5/6)

Improved

Status and

Messages

Client Variation Desired Mapping Value

Excel Connector - Support or Mixed Mapping Imports (6/6)

Objectives

Product Specifics

• Provide customers with additional configurable subject areas.

• Support parallel initiatives and programs in addition to primary solution.

• Reduce overloading and “hijacking” of subject areas / simplifies configuration.

• Use customer defined Subject Area and Object names.

• Provide flexible workflow and related items support.

• Add-On - Up to 5 configurable subject areas available

• Similar to other action items (issues, projects, etc.)

• Initial setup requires ProcessUnity Support (Naming, Activation, Workflow)

• Fully configurable by customer (roles, properties, notifications, reports, etc.)

Risk Suite

Applicability



User-Defined Subject Areas



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Objectives

Product Specifics

• Provide a simple and practical offering for enterprise policy and procedure lifecycle

management.

• Central repository of documentation.

• Automate policy collection, certify communications (“read & understood”), assess

performance, manage/monitor policy exceptions, investigate and report on violations.

• Data sheets, videos, and website content on www.processunity.com

• Dedicated “Policy and Procedure” subject area (hierarchical data management).

• Version controlled with State-based review and approval

• Exceptions tab to track and monitor Policy exceptions.

Risk Suite

Applicability



Policy & Procedure Management



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Visit

www.processunity.com

• PPM Overview

• Datasheets

• Screenshots

• Use Cases

• Videos

Objectives

Product Specifics

• Allow administrators to build multiple dashboards and publish to different audiences.

• Lock down the dashboard content, in that configuration changes or additions will

automatically propagate to all users of that dashboard.

• A logical next step to personal dashboards.

• New “Custom Dashboards” task – similar to Custom Reports.

• Create multiple custom dashboards as necessary.

• Publish options

• Consumers can interact with dashboards but cannot change configuration.

Risk Suite

Applicability



Custom Dashboards



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

 Persona- or task-based dashboards

 Publish to a group of people (roles, teams)

 Publish to any task area / task group

Custom “named”

dashboards

Accessing

published

Custom

Dashboards

Published

dashboards

Objectives

Product Specifics

• For improved performance, allow reports to not refresh automatically and simply

access data as of last time it was run.

• Very appropriate for high-volume content.

• Allow report authors to control which reports are real-time and which are not.

• For non-real time reports, display information about when it was last refreshed, and

allow manual refresh at any time.

• Natural extension of the “automatic refresh” option on Custom Reports.

• If disabled, report will be cached by user for up to 5 days (subject to change).

• Clock icon appears at report / dashboard heading to display last refresh date.

• Run/Refresh button in report toolbar can be used anytime to refresh data.

Risk Suite

Applicability



Report & Dashboard Caching



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Automatic Refresh Behavior

Yes Report will always be automatically refreshed when invoked.

No (default) Report will be cached for up to 5 days, with clock icon (details)

Objectives

Product Specifics

• Extend existing capability of column drilldown to any column (currently limited to Name).

• Allow standard drilldown or drilldown to a named context report.

• Allow customers to build a navigational workflow to access related information based on

thoughtfully-defined linked reports controlled via custom drilldown.

• New Drilldown tab on Custom Report columns.

• Any report column (mostly all columns).

• Standard drilldown vs. Context Report Drilldown.

Risk Suite

Applicability



Custom Report Linking / Drilldown



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Drilldown to

Details tab

Drilldown to a

specific Context

Report

New Drilldown

tab on Custom

Report Columns

Click to Drilldown

Objectives

Product Specifics

• Allow customer controlled group sorting in custom reports, based on the group total

of another column.

• Allow visualizations to be based on totals, sorted high-to-low (e.g. Pareto-style charts)

• New option on report group (Total Sort) allows select a total column for how groups

should be sorted.

Risk Suite

Applicability



Report Group Sort



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Group Sorting

Groups sorted

Alphabetically

Groups sorted by

Total Sort Column

Objectives

Product Specifics

• Allow alternatives for streamlined user setup, in terms of assigning roles and teams.

• Currently, adding user through the application requires three steps on multiple pages

- (1) add person, (2) relate to role, (3) activate.

• Allowing the role (and team) to be set up on Details page will simplify user setup.

• New multi-select pick lists for Roles and Teams available as “properties” on the

Details tab.

• Define the user’s info and set role/team info in the same step, then activate.

• Note - new properties are hidden by default.

Risk Suite

Applicability



User Setup



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

These new “user setup” properties will

always match Roles and Teams on

adjacent Related Items tab.

Objectives

Product Specifics

• Provide information about how every property is being used across the application.

• Usage in Reports, Notifications, Aggs / Calcs, Auto Update Rules, Validation Rules, etc.

• Prevent deletion of properties if they’re in use elsewhere.

• New Usage button on Properties task allows visibility into its usage.

• Delete action will not be permitted if any usage is found.

Risk Suite

Applicability



Properties Usage Summary



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Objectives

Product Specifics

• Introduce on-screen warning (and countdown) if session is about to expire.

• Based on familiar 20 minutes of inactivity without a keypress (or post back)

• If session expires, a logout page appears.

• Any post back, navigation, editing (usage in general) resets the counter.

• 20 minute timeout session means at 18 minutes a 2-minute countdown will begin.

• Counter is updated in 10 second intervals.

• Pressing OK prevents session expiration (resets inactivity counter).

Risk Suite

Applicability



Inactivity Timeout Warning



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Objectives

Product Specifics

• Provide a read-only archive of the entire ProcessUnity instance for audit purposes.

• Allow administrators to take their own archives.

• Access archive instances in a separate URL.

• Allow historical archives to be opened and accessed by administrators.

• Allow administrators to grant temporary access to other users for audit purposes.

• Requires initial setup by ProcessUnity Support team.

• Archive “snapshots” can be taken by app admins at most every 30 days.

• Managing and restoring archives occurs via separate instance URL (app admin only).

• Archives set the stage to allow historical data to be purged from Production as

necessary.

Risk Suite

Applicability



Self-Service Database Archives



1 2 3 4 5 6 7 8 9 10 11 12 13

Topic

Production

Instance

Archives

Properties

Usage Summary

User

Setup

Excel™ Connector

Enhancements

Inactivity

Timeout

Warning

User-Defined

Subject Areas

Microsoft Word™

Connector

Spring/Summer 2016 - Release Recap

1. Microsoft Word Connector

2. SIG Connector

3. Questionnaire Reference Materials

4. Questionnaire Scoring Preview

5. Questionnaire Attachment Repository

6. Questionnaire Native Excel Import/Export

7. Metrics / SLAs

8. Excel Connector Filter Enhancements

9. User-Defined Subject Areas

10. Policy & Procedure Management

11. Custom Dashboards

12. Report & Dashboard Caching

13. Custom Report Linking / Drilldown

14. Report Group Sort

15. User Setup

16. Properties Usage

17. Inactivity Timeout Warning

18. Self-Service Database Archives

19. Inbox - Added Name

20. Email Addresses - Non-Unique Now Allowed

21. Charting - Logarithmic Axis

22. Allow Create New for Multi-Level Reports

23. Custom Reports - Set Filters Before Running - Expand Bar

24. Mapping Reports – Interchangeable Inventory / Variation Levels

25. Set Password button for SSO-enabled Instances

26. Print Details button (Incidents, Projects, Issues)

27. Pick List Values - Case Insensitive during Import

28. Application Header Image Logos - by Role

29. Approval Tab - History

30. Certifications - “Resend” option

31. Excel Connector - Mixed Mapping Support

32. Improved Log - Mapping Import

33. Enabled Review and Approval capability for more Objects

34. Notification Rules - Manual if True

35. Relate Regulations to Policies & Procedures

36. Relate Exceptions to Controls

37. Relate Issues to Metrics

38. Relate Policy/Procedure to Assessment Relationships

Reviewed Today …more

Release Notes summarize all items below

Spring/Summer 2016 - Videos

New

Questionnaire

Features

SIG™

Connector

Metrics / SLAs

Policy &

Procedure

Management

Report

Group

Sort

Custom

Dashboards

Report

Caching

Custom

Report

Drilldown

Self-Service

Database

Archives

Properties

Usage Summary

User

Setup

Excel™ Connector

Enhancements

Inactivity

Timeout

Warning

User-Defined

Subject Areas

Microsoft Word™

Connector

Release

Announcement

6-May-2016

Resources Available

• Online Resource Center

• Videos

• Release Notes

4-Jun-2016

Sneak Peek

Webinar

2-Jun-2016

Spring/Summer

2016 Production

Release

11-Jun-2016

Release Readiness Timeline

Jun

S M T W T F S

1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30

Today

Q&A