Enable Risk Management

With the 24R3 release, SafetyDocs allows you to track the authoring, approval, and distribution of global and local risk management plans (RMPs) and additional risk minimization measures (aRMMs), as well as categorize and track identified risks with measures to be taken globally and by market.

After you have configured this feature, see the following articles for more information:

25R1 Update: Risk Management Enhancements

With the 25R1 release, SafetyDocs introduces the ability to set the Name field to a system-managed value for the following objects:

  • RMP Core Implementation Strategy
  • RMP Local Implementation Strategy

Overview

To configure risk management in your Vault:

Configure Security

To configure risk management security:

  • Create a copy of the standard Risk Actions permission set
  • Create a security profile with the label Risk Management
  • Create a group with the label Risk Users and add the following security profiles1 as included security profiles:
    • Risk Management
    • All SafetyDocs
    • All Case & All SafetyDocs

Configure Objects

To configure objects:

Configure the RMP Risk Measure Default Object Type & Name

To set the default object type for the RMP Risk Measure object:

  1. Navigate to Admin > Configuration > Objects > RMP Risk Measure.
  2. Select Edit.
  3. In the Options section, from the Default Object Type drop-down, select Core Risk Measure.
  4. Select Save.
  5. Navigate to the Fields tab and select the Name field.
  6. Select Edit.
  7. In the Value Format field, enter the following formula:
    {measure_category__v} - {measure_sub_category__v} - v{version__v} {market__vr.abbreviation_2__v} - {#}
  8. Select Save.

Configure Object Layouts

To configure object layouts to support risk management:

Configure the Object Layouts for All Risk Management Objects

To support risk management, configure the following object layouts using the process below:

  • Core Risk Management Plan
  • Core Risk Management Plan Version
  • Local Risk Management Plan
  • Local Risk Management Plan Version
  • RMP Risk
  • Local RMP Risk
  • RMP Core Implementation Strategy
  • RMP Local Implementation Strategy
  • RMP Risk Measure object types:
    • Core Risk Measure
    • Local Risk Measure
  • RMP Risk Measure Tracking

To configure an object layout:

  1. Copy the standard object layout.
  2. (Optional) Configure the custom object layout to your organization’s requirements.
  3. Set the custom layout as the default.

Add the RMP Required Field to the Country Object

To the Country object layout, add the RMP Required field.

Configure Object Lifecycles

To configure risk management object lifecycles:

Configure the Complete State Type

To set the Complete state type for each of the risk management object lifecycles in the table below:

  1. Navigate to Admin > Configuration > Object Lifecycles and select an object lifecycle from the table below.
  2. In the State Types section, select the Complete State.
  3. Select Edit.
  4. From the State drop-down, select the state that corresponds to the object lifecycle shown in the table below.
  5. Select Save.
Object Lifecycle Complete State
Core RMP Lifecycle Effective
Core RMP Version Lifecycle Complete
Local RMP Lifecycle Effective
Local RMP Version Lifecycle Complete
RMP Core Implementation Strategy LC Approved
RMP Local Implementation Strategy LC Approved
RMP Risk Measure Lifecycle Complete
RMP Risk Measure Tracking Lifecycle Complete

Configure User & Entry Actions

Add the user actions and entry actions for each of the risk management object lifecycles and states as follows:

Object Lifecycle State User Actions Entry Actions
Core RMP Lifecycle Planned Always allow the following actions:
  • Change State to Effective
 N/A
Effective Always allow the following actions:
  • Change State to Historical
 N/A
Core RMP Version Lifecycle Planned Always allow the following actions:
  • Change State to Complete
 N/A
Complete Always allow the following actions:
  • Copy to New Version
  • Change State to Obsolete
 Always perform actions:
  • Create Local RMPs
  • Update Related Record Field:
    • Related Object: Core Risk Management Plan
    • Fields: Effective Version
    • Set to Value: version__v
Local RMP Lifecycle Planned Always allow the following actions:
  • Change State to Effective
  • Change State to Not Applicable
 N/A
Effective Always allow the following actions:
  • Change State to Historical
 N/A
Local RMP Version Lifecycle Planned Always allow the following actions:
  • Change State to In Progress
  • Change State to Not Applicable
 N/A
In Progress Always allow the following actions:
  • Change State to Complete
 Always perform actions:
  • Create Local RMP Data from Core
Complete Always allow the following actions:
  • Change State to Obsolete
 Always perform actions:
  • Update Related Record Field:
    • Related Object: Local Risk Management Plan
    • Fields: Effective Version
    • Set to Value: version__v
RMP Core Implementation Strategy LC Planned Always allow the following actions:
  • Change State to In Development
 N/A
In Development Always allow the following actions:
  • Change State to Approved
 N/A
Approved Always perform actions:
  • Copy to New Version
  • Change State to Superseded
 Always perform actions:
  • Supersede Previous Version
  • Create Local Implementations
RMP Local Implementation Strategy LC Planned Always allow the following actions:
  • Change State to In Development
  • Change State to Not Applicable
 N/A
In Development Always allow the following actions:
  • Change State to Approved
 N/A
Approved Always allow the following actions:
  • Change State to Superseded
 Always perform actions:
  • Supersede Previous Version
RMP Risk Measure Lifecycle Planned Always allow the following actions:
  • Change State to In Progress
 N/A
In Progress Always allow the following actions:
  • Change State to Complete
 N/A
Complete Always allow the following actions:
  • Change State to Obsolete
 N/A
RMP Risk Measure Tracking Lifecycle Targeted Always allow the following actions:
  • Change State to Complete
  • Change State to Cancelled
 N/A

Optional: Update Object Record Naming Conventions

To configure object record naming conventions for the RMP Core Implementation Strategy object or the RMP Local Implementation Strategy object, configure the Name field as a system-managed value.

Configure Document Workflows

Configure the following document workflows:

Configure the Authoring - Risk Workflow

To create a risk authoring workflow:

  1. Navigate to Admin > Configuration > Workflows.
  2. Select Create.
  3. In the Create Workflow window, select Document Workflow.
  4. Select Continue.
  5. On the Create Workflow page, populate the fields as follows:
    • Label: Enter Authoring - Risk
    • Lifecycle: Select Master Risk Lifecycle
    • In the Options section, select the Workflow cancellation comment checkbox
  6. Select Save.
  7. In the Workflow Steps section, configure the workflow to include the steps defined in the following table.
  8. In the Status field, select Make configuration active.

Workflow: Authoring - Risk

Step Type Step Label Next Steps Step Settings
Start step Start SC: In Authoring

Start Options

  • Control 1: Instructions
    • Please select the authors and due date.
  • Control 2: Participants
    • Participants: Authors
    • Add Participants: Allow workflow initiator to select participants
  • Control 3: Date
    • Label: Due Date
    • Default Value: today()+days(7)
    • Set workflow due date
State change action step SC: In Authoring Task: Author

Rules

Always: Change State to In Authoring
Task step Task: Author SC: Draft

Task Options

  • Task Label: Author Document
  • Assign Task To: Authors
    • Allow workflow initiator to select assign to all or make available
  • Instructions: Please author the document.
  • Task Requirement: Required

Due Date

  • Due Date: Due Date + 0 Days

Update Sharing Settings

  • Update Role on Event:
    • Task Assignment > Add > Editor
    • Task Reassignment From > Remove > Editor
    • Task Cancellation > Remove > Editor
State change action step SC: Draft End

Rules

Always: Change State to Draft
End step End N/A End Type: End Workflow

Configure the Review - Risk Workflow

To create a risk review workflow:

  1. Navigate to Admin > Configuration > Workflows.
  2. Select Create.
  3. In the Create Workflow window, select Document Workflow.
  4. Select Continue.
  5. On the Create Workflow page, populate the fields as follows:
    • Label: Enter Review - Risk
    • Lifecycle: Select Master Risk Lifecycle
    • In the Options section, select the Workflow cancellation comment checkbox
  6. Select Save.
  7. In the Workflow Steps section, configure the workflow to include the steps defined in the following table.
  8. In the Status field, select Make configuration active.

Workflow: Review - Risk

Step Type Step Label Next Steps Step Settings
Start step Start Task: Review

Start Options

  • Control 1: Instructions
    • Please select the reviewers and due date.
  • Control 2: Participants
    • Participants: Reviewers
    • Add Participants: Allow workflow initiator to select participants
  • Control 3: Date
    • Label: Due Date
    • Default Value: today()+days(7)
Task step Task: Review Decision: Review Outcome

Task Options

  • Task Label: Review Document(s)
  • Assign Task To: Reviewers
    • Allow workflow initiator to select assign to all or make available
  • Instructions: Please review these documents and specify if they are ready for approval.
  • Task Requirement: Required

Due Date

  • Due Date: Due Date + 0 Days

Update Sharing Settings

  • Update Role on Event:
    • Task Assignment > Add > Reviewer
    • Task Reassignment From > Remove > Reviewer
    • Task Cancellation > Remove > Reviewer

Prompts

  • Prompt for Verdicts:
    • Multiple Verdicts: One Verdict for each item

Verdicts

  • Verdict Label: Reviewed, Ready for Approval
    • Prompt for Comments: Comments
  • Verdict Label: Rejected, Back to Draft
    • Prompt for Comments: Reason for rejection
    • Required: Yes

Notification

  • Notification Template: Multi-document Workflow Review Task
Decision step Decision: Review Outcome Determined by the step rules

Rules

  • Rule 1
    • Condition Type: All conditions are met
    • If: Task > Task: Review > all labels equal > Reviewed, Ready for Approval
    • then: SC: Reviewed
  • Else
    • then: SC: Back to Draft
State change action step SC: Reviewed End

Rules

Always: Change State to Reviewed
State change action step SC: Back to Draft Notify: Rejected

Rules

Always: Change State to Draft
Notification step Notify: Rejected End

Notification Options

  • Notification Template: Multi-document Workflow Rejected
  • Recipient: Workflow Owner
  • Include verdicts and comments from previous tasks
  • Select Tasks: Task: Review
End step End N/A End Type: End Workflow

Configure the Approval - Risk Workflow

To create a risk approval workflow:

  1. Navigate to Admin > Configuration > Workflows.
  2. Select Create.
  3. In the Create Workflow window, select Document Workflow.
  4. Select Continue.
  5. On the Create Workflow page, populate the fields as follows:
    • Label: Enter Approval - Risk
    • Lifecycle: Select Master Risk Lifecycle
    • In the Options section, select the Workflow cancellation comment checkbox
  6. Select Save.
  7. In the Workflow Steps section, configure the workflow to include the steps defined in the following table.
  8. In the Status field, select Make configuration active.

Workflow: Approval - Risk

Step Type Step Label Next Steps Step Settings
Start step Start SC: In Approval

Start Options

  • Control 1: Instructions
    • Please select the approvers and due date.
  • Control 2: Participants
    • Participants: Approvers
    • Add Participants: Allow workflow initiator to select participants
  • Control 3: Date
    • Label: Due Date
    • Default Value: today()+days(7)
    • Set workflow due date
State change action step SC: In Approval Task: Approve

Rules

Always: Change State to In Approval
Task step Task: Approve Decision

Task Options

  • Task Label: Approve Document(s)
  • Assign Task To: Approvers
    • Allow workflow initiator to select assign to all or make available
  • Instructions: Please review and approve documents. If approved, they move to the Internally Approved state.
  • Task Requirement: Required

Due Date

  • Due Date: Due Date + 0 Days

Update Sharing Settings

  • Update Role on Event:
    • Task Assignment > Add > Approver
    • Task Reassignment From > Remove > Approver
    • Task Cancellation > Remove > Approver

Prompts

  • Prompt for Verdicts:
    • Multiple Verdicts: One Verdict for each item

Verdicts

  • Verdict Label: Approved
    • Prompt for Comments: Comments
    • eSignature:
      • Instructions: Please provide an eSignature
      • Manifest eSignature on document
  • Verdict Label: Rejected, Back to Draft
    • Prompt for Comments: Reason for rejection
    • Required: Yes

Notification

  • Notification Template: Multi-document Workflow Review Task
Decision step Decision Determined by the step rules

Rules

  • Rule 1
    • Condition Type: All conditions are met
    • If: Task > Task: Approve > all labels equal > Approved
    • then: SC: Internally Approved
  • Else
    • then: SC: Draft
State change action step SC: Internally Approved End

Rules

Always: Change State to Internally Approved
State change action step SC: Draft Notification: Rejected

Rules

Always:

  • Change State to Draft
  • Remove eSignatures from items for Task: Approve with verdicts Approved
Notification step Notification: Rejected End

Notification Options

  • Notification Template: Multi-document Workflow Rejected
  • Recipient: Workflow Owner
  • Include verdicts and comments from previous tasks
  • Select Tasks: Task: Approve
End step End N/A End Type: End Workflow

Configure the Master Risk Lifecycle Document Lifecycle

To configure the Master Risk Lifecycle document lifecycle:

Configure Security Settings

Update document lifecycle state security settings for the following states on the Master Risk Lifecycle:

Configure Draft State Security Settings

Update lifecycle state security settings on the Draft state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Fields
  • Edit Relationships
  • Edit Sharing Settings
  • Annotate
  • Create Anchors
  • Download Source
  • Edit Document
  • Manage Viewable Rendition
  • Change Owner
Coordinator
  • View Document
  • View Content
  • Edit Fields
  • Edit Relationships
  • Edit Sharing Settings
Editor
  • View Document
  • View Content
  • Edit Fields
  • Edit Relationships
  • Edit Sharing Settings
  • Annotate
  • Create Anchors
  • Download Source
  • Edit Document
Viewer
  • View Document
  • View Content
  • Annotate
Reviewer
  • View Document
  • View Content
  • Annotate
Approver
  • View Document
  • View Content
  • Annotate

Configure In Authoring State Security Settings

Update lifecycle state security settings on the In Authoring state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Fields
  • Edit Relationships
  • Edit Sharing Settings
  • Annotate
  • Download Source
  • Edit Document
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Edit Fields
  • Edit Sharing Settings
  • Annotate
  • Download Source
  • Edit Document
Viewer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
  • Annotate
Approver
  • View Document
  • View Content
  • Annotate

Configure In Review State Security Settings

Update lifecycle state security settings on the In Review state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Annotate
  • Download Source
  • Change Coordinator
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Edit Sharing Settings
  • Annotate
  • Download Source
Viewer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
  • Annotate
  • Download Source
Approver
  • View Document
  • View Content
  • Annotate
  • Download Source

Configure Reviewed State Security Settings

Update lifecycle state security settings on the Reviewed state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
Viewer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
Approver
  • View Document
  • View Content

Configure In Approval State Security Settings

Update lifecycle state security settings on the In Approval state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Annotate
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
Viewer
  • View Document
  • View Content
Consumer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
  • Annotate
Approver
  • View Document
  • View Content

Configure Internally Approved State Security Settings

Update lifecycle state security settings on the Internally Approved state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Version
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Version
Viewer
  • View Document
  • View Content
Consumer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
Approver
  • View Document
  • View Content

Configure Approved for Use State Security Settings

Update lifecycle state security settings on the Approved for Use state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Version
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Version
Viewer
  • View Document
  • View Content
Consumer
  • View Document
  • View Content
Approver
  • View Document
  • View Content

Configure Current in Use State Security Settings

Update lifecycle state security settings on the Current in Use state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Download Source
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Download Source
Viewer
  • View Document
  • View Content
  • Download Source
Consumer
  • View Document
  • View Content
  • Download Source
Reviewer
  • View Document
  • View Content
  • Download Source
Approver
  • View Document
  • View Content
  • Download Source

Configure Superseded State Security Settings

Update lifecycle state security settings on the Superseded state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
Viewer
  • View Document
  • View Content
Reviewer
  • View Document
  • View Content
Approver
  • View Document
  • View Content

Configure Historical State Security Settings

Update lifecycle state security settings on the Historical state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Sharing Settings
  • Download Source
  • Change Owner
Coordinator
  • View Document
  • View Content
Editor
  • View Document
  • View Content
  • Download Source
Viewer
  • View Document
  • View Content

Configure Planned State Security Settings

Update lifecycle state security settings on the Planned state of the Master Risk Lifecycle as follows:

Role Security Settings
Owner
  • View Document
  • View Content
  • Edit Fields
  • Edit Sharing Settings
  • Annotate
  • Create Anchors
  • Download Source
  • Manage Viewable Rendition
  • Reclassify
  • Change Owner
Coordinator
  • View Document
  • View Content
  • Edit Sharing Settings
  • Annotate
  • Create Anchors
Editor
  • View Document
  • View Content
  • Edit Fields
  • Edit Sharing Settings
  • Annotate
  • Create Anchors
  • Download Source

Configure the Editor Role

To configure the Editor role on the Master Risk Lifecycle:

  1. From the Master Risk Lifecycle, select the Roles tab.
  2. Select the Editor role.
  3. Select Edit.
  4. In the Options section under Add Default Users When, select the Creating a document checkbox.
  5. Select Save.
  6. To define allowed and default users, add the Risk Users group, then select the Default User checkbox.

Configure User & Entry Actions

Create entry actions and user actions on the following states of the Master Risk Lifecycle:

State User Actions Entry Actions
Planned Always allow the following actions:
  • Change State to Draft
 N/A
Draft Always allow the following actions:
  • Workflow > Authoring - Risk
    Action Label: Author Risk Documents
  • Workflow > Review - Risk
    Action Label: Review Risk Documents
  • Workflow > Approval - Risk
    Action Label: Approve Risk Documents
 N/A
Reviewed Always allow the following actions:
  • Workflow > Approval - Risk
    Action Label: Approve Risk Documents
 N/A
Internally Approved Always allow the following actions:
  • Change State to Approved for Use
 Always perform actions:
  • Set new major version
  • Set previous steady state to superseded
Approved for Use Always allow the following actions:
  • Change State to Current in Use
 N/A
Current in Use Always allow the following actions:
  • Change State to Historical
 N/A