Patent Application
20220067661
This invention relates generally to systems and methods for managing client/vendor relationships. More particularly, in certain embodiments, the invention relates to systems and methods for providing vendor and agreement management.
Financial institutions such as banks and credit unions are increasingly relying on third-party vendors to perform various important functions. While this improves efficiency and reduces cost for the financial institution, there are various risks posed by such outsourcing. A financial institution (“FI”) must establish a vendor oversight program to mitigate such risks, comply with various regulations, and pass examination by auditors. Generally, maintaining oversight of different vendors and vendor products requires a coordination of large amounts of oversight requirements, tasks, documents, results, due dates, and individuals.
The vendor management process has historically been disjointed, messy, and time-consuming. A single financial institution may have numerous vendors to manage, and there may be many individuals within a given financial institution who deal with a given vendor and must coordinate collection of documents and data regarding the corresponding vendor products. Furthermore, the terms of various contracts between a financial institution and its vendors must be carefully monitored.
Moreover, financial institutions may wish to maintain different types of information about the vendors and vendor products with which they are associated. Traditional vendor management systems allow financial institutions to maintain information according to a predetermined set of fields.
Methods and systems are presented herein for adding, to a vendor management system, information relating to one or more (new) vendors providing services and/or other products to the financial institution resulting in a consolidated, efficient system for managing contracts between a financial institution and its vendors.
In one aspect, the invention is directed to a method for managing one or more vendors and/or products. The method includes causing to display, by a processor of an enterprise system, one or more graphical user interfaces (GUIs) associated with one or more workflow management modules. The method includes receiving, by the processor of the enterprise system, a first input (e.g., received via a graphical user interface widget) from a first client user (e.g., said first client user having been authorized to access the enterprise system, e.g., said first client user being one member of a network of subscribed clients), the first input comprising instructions to access a workflow management GUI. The method includes receiving, by the processor of the enterprise system, (e.g., received via a graphical user interface widget) data field information related to said vendor and/or product. The method includes updating, in a memory of the enterprise system, vendor and/or product information stored in association with the first client, based on the subsequent input. The workflow management module is configured to produce and edit one or more vendor management workflow programs.
The subsequent input may include data field information for adding a step to a workflow. The step may be a template step. The step may be or may include a send questionnaire step. The workflow may be or may include an onboarding workflow. The workflow management module may be user activated. The method may include downloading a workflow.
The foregoing and other objects, aspects, features, and advantages of the present disclosure will become more apparent and better understood by referring to the following description taken in conjunction with the accompanying drawings, in which:
The features and advantages of the present disclosure will become more apparent from the detailed description set forth below when taken in conjunction with the drawings, in which like reference characters identify corresponding elements throughout. In the drawings, like reference numbers generally indicate identical, functionally similar, and/or structurally similar elements.
Methods and systems are presented herein for assessing risk associated with a vendor providing services and/or other products to a financial institution, for preparation of associated risk assessment reports or vendor oversight reports, and for maintenance of a plurality of risk assessment reports associated with a plurality of vendors.
The system 100 may include a reminder, notification, and/or calendar function 212. The function 212 may manage and store a list of dates associated with expiration of a given document or contract as well as a list of personal reminders provided by the end-users. The function 212 may display such reminders in a calendar display. The function 212 may send notifications to the end-user based on pre-defined rules associated with an examination. The rules may be related to the expiration date of a given product or agreement, a scheduled examination, a risk-assessment evaluation, and etc.
The function 212 may include an alert and/or information feed (e.g., new documents uploaded, new reviews added, status update on a given examination or preparation process, etc.). The alert may include a progress bar to indicate a given end-user progress with a given task.
The alert may include an experience bar to indicate a given end-user usage level associated with the various functions of the system 100.
The system 100 may include a risk-assessment module 214 to guide an end-user in assigning a risk rating for a given vendor and/or product. The risk-rating may be utilized as part of the reporting of the compliance and/or contract audit examination. In some implementations, the risk rating may be used to determine the types of information and the types of documents to include in the examination report.
The system 100 may include a subscription module 216. The subscription module 216 may manage and maintain usage by the end-user of the various system components (e.g., 202, 204, 206, 208, 210, 212, and 214) for a given financial institution. The system 100 may monitor the end-user's action, such as the usage of complimentary tools and document storage, purchases of additional tools and document storage, purchases of enterprise features, among others.
In some example embodiments, the system may include one or more modules for executing, providing and/or causing to display one or more graphical user interfaces (GUIs) and/or widgets. The GUIs and/or widgets may include a vendor profile widgets for, among other things, managing vendor profiles; oversight grid widgets for, among other things, providing grid-based oversight of oversight requirements; task widgets for, among other things, managing tasks associated with oversight requirements; oversight management widgets for, among other things, managing tasks and oversight requirements associated with vendors and/or vendor products; document widgets for, among other things, managing documents associated with tasks; administrator widgets for, among other things, managing users; dashboard widgets for, among other things, managing outstanding tasks and vendor products associated with users; and reports widgets for, among other things, generating status, task and/or vendor reports.
In some example embodiments, data associated with vendors (e.g., vendor management information), which is used by the GUIs and/or widgets, may be stored in a memory of the system 100 or of a client computing device associated with the system 100. In some example embodiments, the system 100 is an enterprise system with which one or more enterprise client computing devices are connected. The GUIs and/or widgets are described in further detail below.
Main Dashboard
The main dashboard 202 may include a calendar 326 that displays reminder dates 328 and expiration dates 330 of contracts, of risk assessment of vendors and/or products, as well as of upcoming examinations. In some implementations, the calendar 326 may include dates in which notifications will be sent by the system. In some implementations, the calendar 326 may only display the expiration dates for documents that are uploaded by the end-user.
In some implementations, upon selecting a date in the calendar 326, the system 100 may prompt the end-user to create a reminder (e.g., for email communication, SMS-message, and other methods of notification accessible to and specified by the end-user). The system 100 may display a content of a reminder when the end-user hovers the cursor thereover. The calendar may be a part of the reminders, notification, and calendar function 212. The alerts and reminders of the calendar 326 may be employed to notify the end-user of upcoming critical dates (e.g., renewal date). The notification may be generated based on the date of the given activity having met an alert condition (e.g., exceeding a date threshold in relation to the critical date).
The main dashboard 202 may include a function to add a vendor product (310), a function to upload a contract associated with a given product (312), a function to manage stored documents (314), a function to prepare for an examination (316), and a function to review and manage reviews for a given vendor products (318).
The main dashboard 202 may be displayed to the users upon login to the system 100.
In some implementations, when adding a new vendor product (310), the system 100 may present the end user with a list of products. The list may include all products associated to the financial institution, including those that are not currently being managed by any of the end-user of that institution as well as those that do not have a contract loaded. The list of products may be maintained within a database that is managed by the system 100.
When adding a new vendor product, the system 100 may present the end-user with a list of questions associated with the product. The questions may include a request for the vendor name, the product name, the product type, and a risk level. The risk level may be defined as low, medium, high, and undefined (as corresponding to the risk level 304). Alternatively, the risk level may be an input from the risk-assessment module 214.
In some implementations, the risk-levels 304, 308 may be used to determine a suggested document 320 (see—see
In some implementations, the system 100 allows more than one person to interact with a vendor. The collaboration function allows the system 100 to receive information from the end-user about co-workers or other people in the end-user's organization that may perform actions or provide reviews for a given vendor and/or vendor product. In some implementations, the collaborator may perform any of the end-user's function (e.g., upload contract, add notes and reminders, save email conversation, and document events), though may not change or undo any of the actions performed by the end-users. Each of the vendor products may be assigned a different point of contact (i.e., a product manager). The system 100 may provide a search function for the end-user to determine if an added collaborator is already registered with the system 100.
In some implementations, when uploading a contract associated with a given product (312), the system 100 may prompt the end-user for a file. Multiple files may be selected and uploaded in a given instance. The system 100 may send a notification to the end-user that the contract has been uploaded and that a notification will be sent when it is ready for review. In some implementations, the contract may be transmitted to a third-party that analyzes and/or prepare the contract for review by the end-user. The system 100 may use aliases table. Examples of tools utilized by the third-party to analyze and prepare the contract are described in Appendices E and F of the U.S. Provisional Patent Application No. 61/805,066, which is incorporated by reference herein in its entirety.
Vendor Dashboard
In some implementations, the vendor dashboard 204 may include the function to upload a contract associated with a given product (312), the function to manage stored documents (314), the function to prepare for an examination (316), and the function to view and manage reviews for a given vendor products (318).
In some implementations, the vendor dashboard 204 may include a list of vendor products (402) that are associated to the financial institution. The list 402 may include, for example, but not limited to, products that are currently being managed as well as products that are yet to be assigned to a given product manager. For each of the products in the list 402, the system 100 may display a product name 404, a risk level that has been assigned to the product 406, a vendor contact information 408, an assigned product manager (of the financial institution) 410, a status indicator of the product 412, and actionable tasks 414 associated with a given product. The actionable tasks 414 may allow an end-user to edit a given product information (416), to view or manage the document associated with the given product (418), and to add a contract or edit the contract on file associated with the given product (420).
Upon a selection of a product in the list 402, the system 100 may prompt the end-user whether to assign a product-manager for the product. The prompt may further include details and information about the product, including, for example, the vendor name, the product name, the product type, and the source of the product. Upon the end user providing the information, the system 100 may provide options to allow the end-user to upload a contract, to add a collaborator, or to add contact information.
Upon a selection to edit a product (416), the system 100 may display the information about an added product (e.g., the vendor name, the product name, the product type, and a risk level), as described in
The system 100 may provide a selection to allow the end-user to remove collaborators from specific products.
Upon a selection to edit a contract (420) associated with a product, the system 100 may display information relating to the contract, including the status of the contract (e.g., “in-term”, “renewal negotiation”, “auto-renew”, “cancelled”, “replaced”, etc.), the contract files (which may include one or more files), the end-user that uploaded the contract, the upload date, the contract date, the contract expiration date, a list of products associated with the contract, and certain key clauses (e.g., whether the contract includes an auto-renewal clause, information relating to the number of days required for a non-renewal notice, and an auto-renewal period). The system 100 may also display information relating to the contract terms (e.g., sale price per unit, etc.), comments associated with the term (e.g., whether the contract is a service-level agreement (SLA)), the vendor signatory, the institution signatory, among others. The system 100 may provide a prompt to the end-user to edit or replace the contract.
In addition, the system 100 may take actions and set reminders. Example actions of the system 100 are summarized in Table 1.
In addition, upon a selection to edit a contract, the system 100 may provide guidance to the end-user depending on the various selected options. For example, if the end-user specifies “renewal negotiation” (which indicates that the end-user is currently negotiating the contract with the vendor), the system 100 may provide a message that states: “By setting a contract to renewal-negotiation, you will no longer receive notices regarding contract expiration and/or auto-renewal. Change your status when you are ready. You can either upload your new contract or cancel your existing contract.” The system 100 may also take action, such as to stop the sending of the contract expiration emails.
In another example, if the end-user specifies “auto-renew” (which indicates that the contract would auto-renew with the terms as originally provided), the system 100 may prompt the end-user for a new expiration date for the contract and a date for new reminders.
In yet another example, if the end-user specifies “cancelled” (which indicates that the contract has been canceled), the system 100 may notify the end-user that the system 100 will cancel all of the selected products, archive all of the uploaded documents, and archive all of the uploaded contracts. The system 100 may also prompt the end-user for new vendor information. The system 100 may also prompt the end-user to upload a new contract or document.
In yet another example, if the end-user specifies “replace contract” (which indicates that the end-user wishes to replace an existing contract with a new contract), the system 100 may prompt the end-user for new documents associated with the new contact. The system 100 may archive the old contract in an archived folder. The old contract may be accessible to the end-user at the document storage page 206. In some implementations, the system 100 may also sent the new document to the third-party 218 for analysis and preparation.
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The vendor dashboard 204 may include an option to attach and view notes and correspondences (424) (e.g. electronic mail) associated with the vendor. In some implementations, the system 100 may present the information as a list that includes the dates that the note was created, a title for the note, a note type, a product name, an identifier of the end-user that created the note, a vendor name, a product name, and a note message. The list may be filed, sorted, or organized using the note title, the email information, or by the product information.
Document Storage
In some implementations, the document storage page 206 may display a list of product managers 502 and the documents they are managing or collecting. The document storage page 206 may include a workspace 504 for managing and viewing a set of collected documents. The workspace 504 may allow the end-user to organize the set of documents in a set of vendor folders. The vendor folders may include documents and folders associated to a given vendor and vendor product.
In some implementations, the document storage page 206 may include a compliance document folder 506 to be used for the examination preparation effort. The compliance document folder 506 may include folders relating, for example, to “audit/IT”, “business continuity”, “financial”, “insurance”, “miscellaneous”, “policy”, and “product management.”
Upon a selection to upload a new document, the document storage page 206 may prompt the end-user for a file to upload, a document description, a document date, comments, and/or reminders.
The document storage page 206 may restrict the transfer of files. In some implementations, once a document has been uploaded, for example, to the compliance document folder 506, the document storage page 206 may prohibit the end-user from moving these documents to a different folder. To this end, the system 100 may require the end-user to delete the file and re-upload the file to the different folder. In some implementations, the document storage page 206 prohibits the addition of new folders to the compliance document folder 506.
As another example, only documents uploaded by the end-user may be moved by the end-user. The document storage page 206 may indicate to the end-user the documents that they have permission to move. The document storage page 206 may indicate the owner of the document.
The document storage page 206 may label the various uploaded documents. For example, in some implementations, the document storage page 206 may label documents that have been newly uploaded by the third-party 218 or by the vendor as “new”. The label may appear only during a first login session by the end-user, and the label may be removed in subsequent sessions. Other labels may include “expired.”
Exam Preparation
In some implementations, the Exam Prep workflow may be initiated from the main dashboard 202 or the vendor dashboard 204, as described in relation to
Upon initiation of the Exam Prep workflow, the system 100 may prompt the end-user for examination information, including, for example, a date of the next regulatory exam (step 602). The system 100 may use the provided date to track the number of days remaining until the examination and to determine when notification (e.g., by email) regarding the examination may be sent. In some implementations, the system 100 may send, for example, a reminder to an end-user that created the report (and/or the product manager) 90 days before the examination. The reminder may indicate to the end-user that the report is ready for the end-user's review. The system 100 may also send a reminder, when no report has been generated, to an end-user to remind them to start a report.
In the Exam Prep workflow, in some implementations, the system 100 may prompt the user for a list of one or more agencies to be included in the examination (step 604). Examples of the agencies may include, for example, but not limited to, the Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System (FED), National Credit Union Administration (NCUA), and/or the Office of the Comptroller of the Currency (OCC).
In some implementations, the system 100 may also prompt the end-user for a risk-level (e.g., low, medium, high, and undefined/unknown) associated with the vendor and/or vendor product, if the information has not been provided, for which the examination is being prepared (step 606). The risk-level may be an input from the risk-assessment module 214. The system 100 may use the provided risk-level to determine suggested documents for the examination-preparation process.
The last reported date 708 may be, for example, the last time a report was created or the last time the product was examined. The status of the examination (706) may include “complete”, “in progress”, and “not started.” A list of the examination status is shown in Table 2.
The actionable tasks 710 may include reviewing an examination report (712), creating a report (714), continuing a report (716), and starting a report (718).
The system 100 may save all of the work, including all of the actions taken by the end-user. To this end, the end-user can continue from another point in the examination preparation process.
Referring back to
The system 100 may display a status of the workflow (806). The status may include an indicia of the current process being performed by the end-user and a status of the other processes (e.g., complete, in-profess, or ready to start) in the workflow.
Referring back to
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In some implementations, the system 100 may provide a navigation function to allow the end-user to scroll through the various selected documents. The navigation function may include an arrow to review the previous selected document (1116) or the next selected document (1118). For each of the selected documents, the system 100 may allow the end-user to add comments (1120), to retrieve an electronic correspondence or note (1122), to invite an expert and/or collaborator to provide comments or to assist in the document preparation (1124), and/or to set reminders (1126).
Upon selection to invite a co-worker/expert (1124), the system 100 may provide a list of co-workers and/or suggested experts for the user to send a message. The system 100 may also prompt the end-user for a name, contact information, and a message to send to a co-worker and/or expert. The system 100 may accept multiple requests for comments.
The system 100 may allow each of the co-workers and/or experts to register and login. After which, the system 100 may only allow the co-worker and/or expert to view and provide comments for the vendors and/or vendor product to which they were asked for comments. The system 100 may send a notification to the end-user subsequent to a comment being provided. The system 100 may also send a notification when the co-worker and/or expert has registered to the system 100.
Upon receipt of comments from a given co-worker and/or expert, the system 100 may label the request as being complete. The system 100 may also update the Exam Prep workspace 1100 with the received solicited comments. To this end, the system 100 may provide an organized and efficient framework to request for comments from internal and external collaborators, to track such requests, and to review and utilize such comments in the examination-preparation process.
Upon selection of an input to retrieve an electronic correspondence or note (1122), the system 100 may display a list of notes and correspondences stored within the system 100. The system 100 may provide a date, a title, a correspondence type (e.g., email, notes, SMS, etc.), and an identity of the end-user and/or product manager that performed the uploaded. The system 100 may allow the end-user to filter the list based on the correspondence type.
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Vendor Product Review
The system 100 may include a vendor product review workspace to allow the end-user to view and provide reviews/ratings for a given vendor, as described in relation to
The system 100 may prompt the end-user to provide a review 1508 for a given selected product. The end-user may provide a rating value 1510 (which may a star rating), comments, and identifier/contact information.
In some implementations, the display 1500 may include a listing of performance ratings (1512) received from various end-users and/or product managers of the various vendor products. The listing may be organized (e.g., ordered) on the graphical user interface according to popularity (e.g., number of “likes” received for each of the performance comments).
News and Alerts
The system 100 may include an alert and/or information feed that provides information about changes that have been made (e.g., new documents uploaded, new reviews added, and status updates for a given examination or preparation process, etc.). The alert may include a progress bar to indicate a given end-user progress with a given task.
Advanced Workflows
A system as described in this specification may include an Advanced Workflows module. This module may help users (e.g., client users) drive process consistency by allowing the users to define and automate required activities or tasks using rule-based logic.
The Advanced Workflows module may ensure that a team of users is closely aligned to defined processes and provides structure in how, when, and who should perform certain actions. The team users may follow a series of automated actions that can trigger additional actions as they progress through the workflow. Approvals can be required along the way. A system may include pre-built workflow templates to help clients adopt the functionality quickly.
Benefits of Advanced Workflows include the capability to drive process consistency with automated direction, configure to suit processes, and build efficiencies and streamline a client's entire program
Digital Compliance Administration
A Workflow module may be or include a billable module of the software. In the software section of a New Client Sale page, Workflows option may be added to the drop-down options. In some embodiments, this item may only require pricing for Annual Price. An example Sales & Contracting: New Sale GUI is shown in
If a client user has Workflows as part of their purchase plan, the Workflow item will be shown in the Customer Order History details. An example Customer Order Details GUI is shown in
Administration Panel—User Roles
Client users that have Workflows in their purchase plan may also have the Custom Roles interface area available to them. These custom roles can be used when setting up workflows in the Advanced Workflows area. An example Admin Panel: User Roles—Custom Roles GUI is shown in
Administration Panel—Advanced Workflows Tab
The Advanced Workflows module may be managed within an Admin Panel. In some embodiments, unlike other modules, this module may not have an all-encompassing on/off switch. Each workflow may be enabled/disabled independently. An example Admin Panel: Advanced Workflows Tab GUI is shown in
Templates
The system may be preload example workflow templates for a client user. In some embodiments, a General Workflow Template may always be provided. If a client has the Vendor Onboarding module within their purchase plan, they may also see the Vendor Onboarding Template.
Within the provided system templates, the system may organize steps with consideration to the modules that the client has available within their purchase plan as well as the client's settings. In some embodiments, client users can neither edit nor order the steps within the system's Templates.
If a client elects to use a system Template, they may first setup the workflow criteria, and then system may create their workflow in the Workflows tab where users may further configure their workflow. An example Advanced Workflows: Templates GUI is shown in
Workflows
In some embodiments, the Workflows tab interface is where a client user may manage their workflows. Workflows may be listed on the left, and clicking the title may display the steps within the workflow and allow for editing. A user may be able to create a new workflow and download their active workflows into a PDF from this area. An example Manage Workflows GUI is shown in
Creating a Workflow
In some embodiments, when a user clicks the Add Workflow button, they may be prompted to setup the workflow criteria and then proceed to add steps. Steps may not be prepopulated from this location of creating a workflow. A user may start from scratch here but can use the system's Template steps from the add step function. A workflow may be added by clicking the Add Workflow button in the Manage Workflows GUI as shown in
Workflow Criteria
In some embodiments, when creating a general workflow, a client may enter a name of up to 30 characters in length. A user may choose for the workflow to be recurring or non-recurring. A user may choose when the workflow will be triggered and the frequency thereafter if recurring (e.g., 1, 2, or 3 years). Both options include the ability to apply the workflow to current products. An example Workflow Criteria—Recurring Workflow Criteria GUI is shown in
In some embodiments, when creating an onboarding workflow, a client may enter a name up to 30 characters, select when the workflow gets triggered and if the workflow must be complete before being able to approve the vendor. An example Vendor Onboarding Workflow Criteria GUI is shown in
After setting up the workflow criteria, the workflow may be created by the system and can be found in the Workflows tab, populated with the suggested steps, ready for the client user to configuring their workflow further.
Editing a Workflow
In some embodiments, edits made to an active workflow are only applied to future workflows. In some embodiments, what is experienced in app/outlined in the Vendor Dashboard or Vendor Onboarding Request can vary from what is defined in the Advanced Workflows tab of the Admin Panel.
In some embodiments, the following actions may be taken on a workflow:
Edit the Name of the workflow: The name of the workflow may be edited from the Workflow Criteria module accessed by clicking the Workflow Criteria link/pencil. An example Workflow Criteria GUI as activated by the Workflow Criteria link/pencil is shown in
Editing criteria to trigger the workflow: Modifying trigger criteria would only be available when the workflow template is turned OFF. Otherwise, fields to select workflow type and configurations are disabled.
Delete the Workflow
In some embodiments, a workflow can be deleted from the Workflow Criteria modal. The confirm delete modal widget may advise how many workflows will be deleted, e.g., workflows in progress, cancelled, and completed ones. An example Delete workflow widget to delete template and associated workflows is shown in
Reorder Steps within a Workflow
In some embodiments, steps can be reordered by clicking on arrow keys located on the left side of a workflow step. This option may be disabled when the workflow step does not have “sibling” steps within the hierarchy to swap positions. An example Workflow template: Move workflow step widget is shown in
Adding a Step to the Workflow
In some embodiments, the following information may be captured when adding a (custom) step to a workflow: Step Name (e.g., up to 50 characters long); Assignment options may include product manager, specific user, or custom role; Approval options may include that approval is not required, or may be provided by product manager, specific user, or custom role; Dependency options may include that a step is not dependent or that other steps already added can be selected; Days to complete may include 1 day to unlimited; Indication if notification when step is past due and, if so, who will be notified (options include product manager, specific user, or custom role); and capability to include an attachment. An example Workflow template: Add step GUI is shown in
In some embodiments, an option may be provided to add template steps, which allows a user to select from system specific functionality with consideration to the modules that the client has available within their purchase plan as well as the client's settings. In some embodiments, using a template step will ‘lose’ any information entered in the ‘custom’ add step form. In some embodiments, Template Step is added to the bottom of the step list. In some embodiments, the system may prevent a user from adding a template step multiple times within the workflow; the only exception to that may be Send Questionnaire workflow step. An example Add template step for non-onboarding workflow GUI is shown in
Questionnaire Template Steps
The system's template step for send questionnaire may require the client to select questionnaire options. An option may include sending a selected questionnaire based on category (requires Category Management to be on). An option may include sending a selected questionnaire based on risk. An option may include sending a selected questionnaire based on criticality. An option may include always sending the same questionnaire regardless of category, risk, or criticality. An option may include providing a sending user with the option to select the questionnaire. An example Edit Send questionnaire GUI is shown in
If the send selected questionnaire based on risk option is chosen, guidance text may be provided advising that a risk assessment should be included as a prior workflow step. An example Questionnaire options GUI is shown in
Onboarding Workflow: Assignment Template Steps
In some embodiments, Assignment template steps within an onboarding workflow may allow an administrator user to pre-define section owners and approvers for new vendor requests submitted for review. The following information may be captured when adding an assignment step to an onboarding workflow: Step Name (e.g., up to 50 characters); Section Assignment options (may include Vendor Management Office (VMO) Manager, Requestor, or specific user);
Section Approver (options include VMO Manager, Requestor, or specific user); Dependency options (may include that a step is not dependent or other steps already added can be selected); Days to complete (may be defaulted to 1); and Ability to include an attachment. An example Onboarding Workflow Template: Edit Assignment GUI is shown in
In some embodiments, Section Approval Assignment steps may override onboarding template settings for approval. A message may be displayed in Onboarding settings when there is an active onboarding workflow that contains steps for section approval assignments. An example Onboarding Settings: Section Approval Override Warning widget is shown in
Onboarding Workflow: Template Steps
In some embodiments, for other template steps that are not section auto-assignment steps, the system may set a default step owner to the section assignment, given the nature of the step. For example, a user assigned to the Questionnaires section may be permitted to send a questionnaire. Those steps without any section dependencies can continue to be assigned to an onboarding role, custom role, or specific user. A table illustrating Onboarding Workflow Template Steps and their respective dependencies is shown in Table 7.
Editing a Step within the Workflow
In some embodiments, editing a workflow steps prepopulates data and allows for edits. These functionalities may be the same as adding a step but with the ability to delete the step. Deleting a step ma delete any dependent steps associated. An example Edit Step widget with Delete button is shown in
Turning the Workflow on
When a client user elects to turn on (activate) a workflow, they may be required to confirm their action. If a workflow is to be applied to a client's current list of active vendors, activating a workflow may not be instantaneous but may require an amount time. In some embodiments, the system may provide an additional prompt advising of the time to activation. An email may be generated and sent to the user when the workflow application has been completed. An example Activate Workflow GUI is shown in
In some embodiments, when a workflow is on or active, a green (or other colored) dot to the right of the workflow name may be displayed on a Workflow GUI widget. An example Workflow GUI widget with a workflow activation indicator is shown in
Once a workflow is turned on, it is applied accordingly. Work items may be managed from a new tab on the Vendor Dashboard. In the event of a Vendor Onboarding workflow, Work items may be managed from the Status tab of a Vendor Request.
In some embodiments, only one onboarding workflow may be active at a time.
This restriction may be applied to ensure that there will be no overlap in the auto-assignment of section owners and section approvers.
Turning the Workflow Off
In some embodiments, when a client user elects to turn off (deactivate) a workflow they may be required to confirm their action. Turning off a workflow may leave any inflight workflows so that they can be completed. In some embodiments, if the workflow is turned back on, a new workflow will be created. An example Deactivate Workflow GUI is shown in
Deleting a Workflow Step
In some embodiments, deleting a workflow step from an active workflow may (quasi) delete all workflow steps from active workflows that utilize the corresponding template. Any dependent steps may also be deleted. A user may be required to confirm their action before the workflow step can be deleted. An example Delete workflow steps GUI is shown in
Download Active Workflows
In some embodiments, clicking the Download Active Workflows button may create a PDF of all the client's currently active workflows. Downloads may be activated by clicking the Download Active Workflows button in the Manage Workflows GUI as shown in
Main Dashboard
In some embodiments, an Advanced Workflows widget may be available to all users on the Main Dashboard. Like the other widgets, this new widget may provide the following: Search by vendor, product, or workflow; View/filter (e.g., Status, Workflow Type, Assignment, Set as default view option); Expanded View with a download to excel option; Sorting (column headers); Stats/Quick filtering (e.g., My Workflows, Delayed Workflows, Ready to Claim, Pending Approval, Workflows in Flight—Only available to Admin users). Admin users may be provided with a Manage Priorities option that opens the expanded view allowing them to mark a workflow as High Priority. A Main Dashboard: Advanced Workflows Widget for NON-Admins GUI is shown in
Vendor Dashboard
Workflow Status Widget
In some embodiments, a workflow status widget on the main tab of the vendor dashboard may provide client users with a status graph of all the current workflows in progress. Client users may be provided with the capabilities to filter down a view based on product and workflow. For a more detailed view, clicking a View Details button may navigate client users to the Workflows tab with the details opened for the selected product and workflow. An example Product Workflow Status widget is shown in
Workflows Tab
The workflows tab on the Vendor Dashboard may provide a GUI from which all product workflows may managed. Workflows currently in progress may be found under the Active tab. An example Workflows Tab GUI is shown in
Selecting a product may cause displaying a list of workflows in progress for that product (e.g., on the right side). A count of the number of steps completed may be provided. Only Admin users may be provided with the capability to cancel a workflow by clicking an appropriate button (X). Once the cancel action is confirmed, all steps in the corresponding workflow may be marked as cancelled and the workflow may move to the Archived tab. Client users may be provided with the capability to download a PDF of the current state of the active workflows for the product selected.
Clicking the workflow name may expand a widget to show all the steps within the workflow, including steps dependent on other steps. Buttons to take actions may be enabled or disabled based on any step dependencies and user permissions.
A table of available actions and corresponding permissions when a workflow step is available for work are shown in Table 8. An example Vendor Dashboard: Active workflow display GUI is shown in
Edit Workflow Step
When editing a workflow step, a client user may be provided with the capability to reassign the step assignment and/or approver, and add comments. If the workflow step is a system-owned template step, the step name may be a hyperlink that will navigate the user to the appropriate area of the application to complete the action. An example Vendor Dashboard: Edit Workflow Step GUI is shown in
A system as described herein may also record a comment when key events occur within a workflow step. Activities include: when a workflow step is claimed by user or approver; when a workflow step is submitted for approval; when a workflow step approval is declined; or when a workflow step approval is approved. An example Workflow Step: Approval History in Comments GUI is shown in
Vendor Dashboard Report
A vendor dashboard report may provide a client user with the capability to configure what the user may want to see on the report. This functionality may be available to all clients, not just those who have access to the Workflows module. In some embodiments, tasks and Confidence Level may not be included on the report. In some embodiments, the Workflows module will only be an option if a client has the Workflows option in their purchase plan. An example Vendor Dashboard Report GUI is shown in
Questionnaires
When a questionnaire is assigned to a workflow template, that questionnaire may be associated with a workflow indicator next to the Questionnaire Name. An example Questionnaires: Questionnaire Library GUI is shown in
In some embodiments, questionnaires that are assigned to a workflow template cannot be deleted. An example Delete Questionnaire GUI is shown in
Vendor Onboarding: Workflow
Onboarding workflow for a vendor request can be found on the Status tab of the vendor request view. An example Workflow window with Onboarding Workflow GUI is shown in
Onboarding Workflow Kickoff
If the onboarding workflow is configured to be manually triggered, the VMO Manager may be presented with a button to Kick off Workflow from the Status tab of the vendor request. Otherwise, the workflow may automatically kickoff when a request has been claimed/assigned to a VMO Manager. An example Status Tab with a Kick off Workflow button is shown in
Managing the Onboarding Workflow
The workflow may be managed from a dedicated workflow section on the Status tab of the vendor request.
Section Assignment Workflow Steps
When an assignment-type workflow step is triggered, the system may automatically assign a section owner and a section approver, if applicable. At this time, the workflow step may also be marked as complete, triggering any dependent steps for work.
System-Owned Workflow Steps
Similar to workflow steps in non-onboarding workflows, any System-owned template steps may provide hyperlinks to navigate a client user to the appropriate vendor request section to complete their work. For example, clicking on a Send Questionnaire workflow step will navigate the user to the Questionnaires section of the vendor request to send the questionnaire.
Email Communication
Example emails that are associated with the Workflows module when and where applicable are shown in Table 9.
Exemplary Network Environment and Computing Device
The cloud computing environment 5800 may include a resource manager 5806. The resource manager 5806 may be connected to the resource providers 5802 and the computing devices 5804 over the computer network 5808. In some implementations, the resource manager 5806 may facilitate the provision of computing resources by one or more resource providers 5802 to one or more computing devices 5804. The resource manager 5806 may receive a request for a computing resource from a particular computing device 5804. The resource manager 5806 may identify one or more resource providers 5802 capable of providing the computing resource requested by the computing device 5804. The resource manager 5806 may select a resource provider 5802 to provide the computing resource. The resource manager 5806 may facilitate a connection between the resource provider 5802 and a particular computing device 5804. In some implementations, the resource manager 5806 may establish a connection between a particular resource provider 5802 and a particular computing device 5804. In some implementations, the resource manager 5806 may redirect a particular computing device 5804 to a particular resource provider 5802 with the requested computing resource.
The computing device 5900 includes a processor 5902, a memory 5904, a storage device 5906, a high-speed interface 5908 connecting to the memory 5904 and multiple high-speed expansion ports 5910, and a low-speed interface 5912 connecting to a low-speed expansion port 5914 and the storage device 5906. Each of the processor 5902, the memory 5904, the storage device 5906, the high-speed interface 5908, the high-speed expansion ports 5910, and the low-speed interface 5912, are interconnected using various busses, and may be mounted on a common motherboard or in other manners as appropriate. The processor 5902 can process instructions for execution within the computing device 5900, including instructions stored in the memory 5904 or on the storage device 5906 to display graphical information for a GUI on an external input/output device, such as a display 5916 coupled to the high-speed interface 5908. In other implementations, multiple processors and/or multiple buses may be used, as appropriate, along with multiple memories and types of memory. Also, multiple computing devices may be connected, with each device providing portions of the necessary operations (e.g., as a server bank, a group of blade servers, or a multi-processor system).
The memory 5904 stores information within the computing device 5900. In some implementations, the memory 5904 is a volatile memory unit or units. In some implementations, the memory 5904 is a non-volatile memory unit or units. The memory 5904 may also be another form of computer-readable medium, such as a magnetic or optical disk.
The storage device 5906 is capable of providing mass storage for the computing device 5900. In some implementations, the storage device 5906 may be or contain a computer-readable medium, such as a floppy disk device, a hard disk device, an optical disk device, or a tape device, a flash memory or other similar solid state memory device, or an array of devices, including devices in a storage area network or other configurations. Instructions can be stored in an information carrier. The instructions, when executed by one or more processing devices (for example, processor 5902), perform one or more methods, such as those described above. The instructions can also be stored by one or more storage devices such as computer- or machine-readable mediums (for example, the memory 5904, the storage device 5906, or memory on the processor 5902).
The high-speed interface 5908 manages bandwidth-intensive operations for the computing device 5900, while the low-speed interface 5912 manages lower bandwidth-intensive operations. Such allocation of functions is an example only. In some implementations, the high-speed interface 5908 is coupled to the memory 5904, the display 5916 (e.g., through a graphics processor or accelerator), and to the high-speed expansion ports 5910, which may accept various expansion cards (not shown). In the implementation, the low-speed interface 5912 is coupled to the storage device 5906 and the low-speed expansion port 5914. The low-speed expansion port 5914, which may include various communication ports (e.g., USB, Bluetooth®, Ethernet, wireless Ethernet) may be coupled to one or more input/output devices, such as a keyboard, a pointing device, a scanner, or a networking device such as a switch or router, e.g., through a network adapter.
The computing device 5900 may be implemented in a number of different forms, as shown in the figure. For example, it may be implemented as a standard server 5920, or multiple times in a group of such servers. In addition, it may be implemented in a personal computer such as a laptop computer 5922. It may also be implemented as part of a rack server system 5924. Alternatively, components from the computing device 5900 may be combined with other components in a mobile device (not shown), such as a mobile computing device 5950. Each of such devices may contain one or more of the computing device 5900 and the mobile computing device 5950, and an entire system may be made up of multiple computing devices communicating with each other.
The mobile computing device 5950 includes a processor 5952, a memory 5964, an input/output device such as a display 5954, a communication interface 5966, and a transceiver 5968, among other components. The mobile computing device 5950 may also be provided with a storage device, such as a micro-drive or other device, to provide additional storage. Each of the processor 5952, the memory 5964, the display 5954, the communication interface 5966, and the transceiver 5968, are interconnected using various buses, and several of the components may be mounted on a common motherboard or in other manners as appropriate.
The processor 5952 can execute instructions within the mobile computing device 5950, including instructions stored in the memory 5964. The processor 5952 may be implemented as a chipset of chips that include separate and multiple analog and digital processors. The processor 5952 may provide, for example, for coordination of the other components of the mobile computing device 5950, such as control of user interfaces, applications run by the mobile computing device 5950, and wireless communication by the mobile computing device 5950.
The processor 5952 may communicate with a user through a control interface 5958 and a display interface 5956 coupled to the display 5954. The display 5954 may be, for example, a TFT (Thin-Film-Transistor Liquid Crystal Display) display or an OLED (Organic Light Emitting Diode) display, or other appropriate display technology. The display interface 5956 may comprise appropriate circuitry for driving the display 5954 to present graphical and other information to a user. The control interface 5958 may receive commands from a user and convert them for submission to the processor 5952. In addition, an external interface 5962 may provide communication with the processor 5952, so as to enable near area communication of the mobile computing device 5950 with other devices. The external interface 5962 may provide, for example, for wired communication in some implementations, or for wireless communication in other implementations, and multiple interfaces may also be used.
The memory 5964 stores information within the mobile computing device 5950. The memory 5964 can be implemented as one or more of a computer-readable medium or media, a volatile memory unit or units, or a non-volatile memory unit or units. An expansion memory 5974 may also be provided and connected to the mobile computing device 5950 through an expansion interface 5972, which may include, for example, a SIMM (Single In Line Memory Module) card interface. The expansion memory 5974 may provide extra storage space for the mobile computing device 5950, or may also store applications or other information for the mobile computing device 5950. Specifically, the expansion memory 5974 may include instructions to carry out or supplement the processes described above, and may include secure information also. Thus, for example, the expansion memory 5974 may be provided as a security module for the mobile computing device 5950, and may be programmed with instructions that permit secure use of the mobile computing device 5950. In addition, secure applications may be provided via the SIMM cards, along with additional information, such as placing identifying information on the SIMM card in a non-hackable manner.
The memory may include, for example, flash memory and/or NVRAM memory (non-volatile random access memory), as discussed below. In some implementations, instructions are stored in an information carrier and, when executed by one or more processing devices (for example, processor 5952), perform one or more methods, such as those described above. The instructions can also be stored by one or more storage devices, such as one or more computer- or machine-readable mediums (for example, the memory 5964, the expansion memory 5974, or memory on the processor 5952). In some implementations, the instructions can be received in a propagated signal, for example, over the transceiver 5968 or the external interface 5962.
The mobile computing device 5950 may communicate wirelessly through the communication interface 5966, which may include digital signal processing circuitry where necessary. The communication interface 5966 may provide for communications under various modes or protocols, such as GSM voice calls (Global System for Mobile communications), SMS (Short Message Service), EMS (Enhanced Messaging Service), or MMS messaging (Multimedia Messaging Service), CDMA (code division multiple access), TDMA (time division multiple access), PDC (Personal Digital Cellular), WCDMA (Wideband Code Division Multiple Access), CDMA2000, or GPRS (General Packet Radio Service), among others. Such communication may occur, for example, through the transceiver 5968 using a radio-frequency. In addition, short-range communication may occur, such as using a Bluetooth®, Wi-Fi™, or other such transceiver (not shown). In addition, a GPS (Global Positioning System) receiver module 5970 may provide additional navigation- and location-related wireless data to the mobile computing device 5950, which may be used as appropriate by applications running on the mobile computing device 5950.
The mobile computing device 5950 may also communicate audibly using an audio codec 5960, which may receive spoken information from a user and convert it to usable digital information. The audio codec 5960 may likewise generate audible sound for a user, such as through a speaker, e.g., in a handset of the mobile computing device 5950. Such sound may include sound from voice telephone calls, may include recorded sound (e.g., voice messages, music files, etc.) and may also include sound generated by applications operating on the mobile computing device 5950.
The mobile computing device 5950 may be implemented in a number of different forms, as shown in the figure. For example, it may be implemented as a cellular telephone 5980. It may also be implemented as part of a smart-phone 5982, personal digital assistant, or other similar mobile device.
Various implementations of the systems and techniques described here can be realized in digital electronic circuitry, integrated circuitry, specially designed ASICs (application specific integrated circuits), computer hardware, firmware, software, and/or combinations thereof. These various implementations can include implementation in one or more computer programs that are executable and/or interpretable on a programmable system including at least one programmable processor, which may be special or general purpose, coupled to receive data and instructions from, and to transmit data and instructions to, a storage system, at least one input device, and at least one output device.
These computer programs (also known as programs, software, software applications or code) include machine instructions for a programmable processor, and can be implemented in a high-level procedural and/or object-oriented programming language, and/or in assembly/machine language. As used herein, the terms machine-readable medium and computer-readable medium refer to any computer program product, apparatus and/or device (e.g., magnetic discs, optical disks, memory, Programmable Logic Devices (PLDs)) used to provide machine instructions and/or data to a programmable processor, including a machine-readable medium that receives machine instructions as a machine-readable signal. The term machine-readable signal refers to any signal used to provide machine instructions and/or data to a programmable processor.
To provide for interaction with a user, the systems and techniques described here can be implemented on a computer having a display device (e.g., a CRT (cathode ray tube) or LCD (liquid crystal display) monitor) for displaying information to the user and a keyboard and a pointing device (e.g., a mouse or a trackball) by which the user can provide input to the computer. Other kinds of devices can be used to provide for interaction with a user as well; for example, feedback provided to the user can be any form of sensory feedback (e.g., visual feedback, auditory feedback, or tactile feedback); and input from the user can be received in any form, including acoustic, speech, or tactile input.
The systems and techniques described here can be implemented in a computing system that includes a back end component (e.g., as a data server), or that includes a middleware component (e.g., an application server), or that includes a front end component (e.g., a client computer having a graphical user interface or a Web browser through which a user can interact with an implementation of the systems and techniques described here), or any combination of such back end, middleware, or front end components. The components of the system can be interconnected by any form or medium of digital data communication (e.g., a communication network). Examples of communication networks include a local area network (LAN), a wide area network (WAN), and the Internet.
The computing system can include clients and servers. A client and server are generally remote from each other and typically interact through a communication network. The relationship of client and server arises by virtue of computer programs running on the respective computers and having a client-server relationship to each other.
This application claims priority to and the benefit of U.S. Provisional Patent Application Ser. No. 63/071,680, filed Aug. 28, 2020, entitled “SYSTEMS AND METHODS FOR ADVANCED WORKFLOWS,” the disclosure of which is incorporated herein by reference in its entirety.
| Number | Date | Country | |
|---|---|---|---|
| 63071680 | Aug 2020 | US |
