Archer Due Diligence Management

Users: Reviewer

1. Go to Due Diligence Framework Add New Record dialog box.

   1. From menu bar, click on the drop-down beside Due Diligence Management.

   2. Under Solutions, select Due Diligence Management.

   3. Under Applications, select Due Diligence Framework.

   4. In the Due Diligence Framework record browser, click New Record.

2. To define a Category:

   1. Select Category and click Continue in the Add New Record dialog box.

   2. Provide Category ID, Category, Category Description, and Framework Version in the “General Information” section.

   3. Click Save in the record toolbar.

3. To define a Sub Category:

   1. Select Sub Category and click Continue in the Add New Record dialog box.

   2. Provide Sub Category ID, Sub Category, Sub Category Description, Framework Version, and Category Reference(s)in the “General Information” section.

   3. Click Save in the record toolbar.

4. To define a Requirement:

   1. Select Requirement and click Continue in the Add New Record dialog box.

   2. Provide Requirement ID, Requirement, Requirement Description, Risk Category, Framework Version, and select Sub Category Reference(s), related Authoritative Sources in the “General Information” section.

   3. Click Save in the record toolbar.

Task 1: Create Due Diligence project

Users: Assessment Owner

1. Go to Due Diligence Project record.

   1. From the menu bar, click on the Due Diligence Management workspace.

   2. Click Create New Due Diligence Project.

2. Enter the Project Name, Project Description, Target Contact, Target Address, Location, Type of Business, Stakeholders, Start Date, and End Date in the “General Information” section.

3. Select the reviewer in the Reviewer field in the “Workflow and Approvals” section.

4. Provide financial information details related to the project on the Financial Information tab.

5. Click Save in the Record Toolbar.

Task 2: Generate Due Diligence checklist

Users: Assessment Owner

1. Navigate to the Due Diligence tab in Due Diligence Project record.

2. Select requirements in the Due Diligence Requirement field in the “Due Diligence Requirements” section.

3. Click the Generate Checklist button.

4. Due Diligence Requirements will be populated in the “Due Diligence Checklist” section.

Task 3: Assign, track, and complete Due Diligence checklist

Users: Assessment Owner, Information Owner

1. Assessment Owner will assign Information Owner to the Due Diligence checklist.

   1. Navigate to the Due Diligence tab in Due Diligence Project record.

   2. Complete Due Diligence Checklist. Users can either navigate to the individual record and use Inline Edit. .

   3. Select Priority, Due Date, and Assigned To for the requirements in the “Due Diligence Checklist” section.

   4. Save the changes.

2. Information Owner will submit/reassign the Due Diligence checklist.

   1. Navigate to the Due Diligence Checklist Record:

      1. From the menu bar, click on the drop-down beside Due Diligence checklist.

         OR

      2. Under dashboards, select Due Diligence Action Hub.

      3. Click on "Requirements Pending My Submission". ”

   2. Edit the Requirement.

   3. Attach the documentation related to Due Diligence Activity in the “Related Documents” section.

   4. Add Information Owner Comments in the “Workflow and Approvals” section.

   5. If Overall Status is Not Started or Needs Additional Information, Information Owner will Change Submission Status to Submitted/Resubmitted/Reassign in the “Workflow and Approvals” section.

      1. If the Information Owner is incorrect, change Overall Status to Reassigned and select new Information Owner. The new Information Owner will be notified after saving the record and will repeat step 2.

      2. If the Due Diligence Activity has been completed, change the Overall Status to Submitted or Resubmitted and the Assessment Owner will be notified after saving the record.

   6. Click on Save.

3. Assessment Owner will review the requirements in the Due Diligence checklist.

   1. Navigate to the Due Diligence tab in the Due Diligence Project record.

   2. Complete Due Diligence Checklist. Users can either navigate to the individual record and use Inline Edit. .

   3. Verify the attachment under Related Documents and Information Owner Comments , if any.

   4. If Overall Status is submitted, Assessment Owner Status can request additional information or complete the requirement: 

      1. To request additional information:

         1. Change Assessment Owner Status to Needs Additional Information and provide Assessment Owner Comments in the “Workflow and Approvals” section. Click on Save.

         2. Overall Status will change to Needs Additional Information.

         Note: If Assessment Owner Review Status is Needs Additional Information and you want to request additional information again, change Assessment Owner Review Status to Awaiting Review and click on save. Then you can change the Assessment Owner Review Status to Needs Additional Information again to request additional information.

      2. To complete the Due Diligence Activity:

         1. Change Assessment Owner Status to Complete and Select Due Diligence Result in the “Workflow and Approvals” section. Click on Save.

         2. Overall Status will change to Complete.

Task 4: Submit Due Diligence project

Users: Assessment Owner

1. Navigate to the Due Diligence Project.

2. Verify Progress Status is 100 percent in the “Due Diligence Summary” section.

3. Provide Overall Recommendation in the “Workflow and Approvals” section.

4. Add any findings in the “Findings” section.

5. Click on the Submit for Review workflow Action .

Note: For the users to add finding to due diligence checklist records and tag them to due diligence profile, enable lookup in Due Diligence Profile (Findings), Due Diligence Checklist (Findings) fields in findings. Add Due Diligence Profile (Findings) to the existing list in “Target” field and Due Diligence Checklist (Findings) to the existing list in “Questionnaire” field. While creating finding record select both Target and Questionnaire in the finding.

Task 5: Review Due Diligence project

Users: Reviewer

1. Navigate to the Due Diligence tab in the Due Diligence Project record.

2. Review Due Diligence Summary, Overall Recommendation from Assessment Owner, and Due Diligence Checklist.

3. To Approve the Due Diligence Project:

   1. Click on the Approve workflow Action.

   2. Reviewer has to provide their electronic signature to approve.

   3. Users have to provide their credentials for completing the action.

   4. Electronic signature is tracked through entries in a History Log field and by having a system generated snapshot automatically attached to an attachment field.

4. To Reject the Due Diligence Project:

   1. Enter reasons for rejecting in Reviewer Comments field in the “Workflow and Approvals” section.

   2. Click on Reject workflow Action.

5. To Request Additional Information for the project:

   1. Enter details required in Reviewer Comments field in the “Workflow and Approvals” section.

   2. Click on the Needs Additional Information workflow Action .

   3. After requesting additional information, Status will change to Needs Additional Information.

Task 6: Resubmit

Note: This task is necessary if “Request Additional Information” was selected during Task 5.

Users: Assessment Owner

1. Navigate to the “Workflow and Approvals” section in the Due Diligence Project.

2. Review Reviewer Comments and make necessary changes.

3. Provide Overall Recommendation in the “Workflow and Approvals” Section.

4. Click on Resubmit workflow Action.

5. Repeat Task 5.

Task 7: Export mail merge document

User: Assessment Owner

1. Navigate to the Due Diligence Project application. Select the record you want to export.

2. Click Export .

3. Select ‘Due Diligence Report’.

   Important: If a security message displays when you attempt to download the file, change your browser security settings to allow downloads and pop-ups for Archer.

4. Click the Click here button to access the exported file.

5. Click Open to open the exported file.

6. Close the Export Complete message.

7. Close the Export Options dialog box.

There is no Undo function for a package installation. Packaging is a powerful feature that can make significant changes to an instance. Back up the instance database before installing a package. This process enables a full restoration if necessary.

An alternate method for undoing a package installation is to create a package of the affected objects in the target instance before installing the new package. This package provides a snapshot of the instance before the new package is installed, which can be used to help undo the changes made by the package installation. New objects created by the package installation must be manually deleted.

1. From the menu bar, click > Application Builder > Install Packages.

2. In the Available Packages section, click Import.
3. Click Add New, then locate and select the package file that you want to import.
4. Click OK.

   The package file is displayed in the Available Packages section and is ready for installation.

Important: This step is required only if you are upgrading to a later version of Archer Documentation Request Tracking.

1. From the menu bar, click > Application Builder > Install Packages.

2. In the Available Packages section, locate the package you want to map.
3. In the Actions column, click for that package.

   The analyzer examines the information in the package. The analyzer automatically matches the system IDs of the objects in the package with the objects in the target instance and identifies objects from the package that are successfully mapped to objects in the target instance, objects that are new or exist but are not mapped, and objects that do not exist (the object is in the target but not in the source).

   When the analyzer is complete, the Advanced Package Mapping page lists the objects in the package file and corresponding objects in the target instance.

4. On the Advanced Mapping page, click to open each category and review the icons next to each object to determine which objects you must map manually.

   The following table describes the icons.

   Icon	Name	Description
   	Awaiting Mapping Review	Indicates that the system could not automatically match the object or one of its children to a corresponding object in the target instance. Objects marked with this icon must be mapped manually. New objects should not be mapped. Select Do Not Map from the drop-down menu to clear this icon for an individual object, or click Do Not Map to clear the icon for all unmapped objects.
   	Mapping Completed	Indicates that the object and all children are mapped to objects in the target instance, or that they have been marked as Do Not Map. Nothing more needs to be done with these objects in Advanced Package Mapping.

   Note: You can run the mapping process without mapping all objects. The icon is for informational purposes only.

5. For objects awaiting mapping review, do one of the following:
   • To map each object individually, use the drop-down menu in the Target column to select the object in the target instance to which you want to map the source object. To leave an object unmapped, select Do Not Map in the Target column.
   • To automatically map all objects in a category that have different system IDs but the same object name as an object in the target instance, click Auto Map. Select whether to ignore case and spaces when matching object names. Click OK.
   • To mark all unmapped objects as Do Not Map, click Do Not Map.

6. (Optional) Click to enable filter fields that you can use to find specific objects in each mapping category. To undo your mapping selections, click Undo, then select whether to undo all mappings in the category or only the mappings on a single page. If you choose to undo all mappings, you will be returned to the categories list.

7. (Optional) To save your mapping selections and return to the categories list without committing changes to the target instance, click .
8. After you review and map all objects, click Execute.
9. Select I understand the implications of performing this operation. Click OK.

   When the mapping is complete, the Import and Install Packages page displays.

   Important: Advanced Package Mapping modifies the system IDs in the target instance. You must update any Data Feeds and Web Service APIs that use these objects with the new system IDs.

All objects from the source instance are installed in the target instance unless the object cannot be found or is flagged to not be installed in the target instance. A list of conditions that may cause objects not to be installed is provided in the Log Messages section. A log entry is displayed in the Package Installation Log section.

1. From the menu bar, click > Application Builder > Install Packages.
2. In the Available Packages section, locate the package file that you want to install, and click the file name or at end of the row to open the Options menu.
   
3. In the Selected Components section, click the Lookup button to open the Package Selector window.
   • To select all components, select the top-level checkbox.
   • To install only specific global reports in an already installed application, select the checkbox associated with each report that you want to install.

   Note: Items in the package that do not match an existing item in the target instance are selected by default.

4. Under the Translation Option drop-down menu, select an option for each selected component. To use the same Translation Option for all selected components, select a method from the top-level drop-down list.
   The Translation Option is enabled only when a language is selected.

   The following table describes the options.

   Option	Description
   Full Install	Installs the component and its translations from the selected languages.
   Translations Only	Only installs the translations from the selected languages.

5. Under the Install Method drop-down menu, select an option for each selected component. To use the same Install Method for all selected components, select a method from the top-level drop-down list.

   The following table describes the options.

   Option	Description
   Create New Only	Only creates new fields and other elements in the applications, questionnaires, workspaces, data feeds, and dashboards specified in the package file. This option does not modify any existing elements on your instance of Archer. This is useful when you want to add functionality to an existing application, questionnaire, workspace, dashboard, data feed, or access role, but you do not want to risk making any unwanted changes to the existing elements of workspaces, data feeds, or dashboards. iViews that are not currently on the dashboards that are selected for the package install are created. Note: The Create New Only option does not apply to access roles or languages.
   Create New and Update	Updates all elements in the applications, questionnaires, workspaces, data feeds, and dashboards as specified in the package file. This includes adding new elements and updating existing elements. Existing iViews on the dashboards that are selected for the package install are updated, and iViews that are not currently on the dashboards that are selected for the package install are created. Note: The Create New and Update option does not apply to access roles or languages.

6. Under the Install Option drop-down menu, select an option for each selected component. To use the same Install Option for all selected components, select an option from the top-level drop-down list.

   The following table describes the options.

   Option	Description
   Do not Override Layout	Installs the component, but does not change the existing layout. This is useful if you have a lot of custom fields and formatting in your layout that you do not want to risk losing. You may have to modify the layout after installing the package to use the changes made by the package. Note: The Do not Override Layout option does not apply to access roles or languages.
   Override Layout	Updates the layout as specified in the package file, overwriting the existing layout. Note: The Override Layout option does not apply to access roles or languages.

7. Click Continue to advance to the next object category in the Package Selector, and repeat steps 4 to 6. After reviewing all object categories, click OK.
8. To deactivate target fields and data-driven events that are not in the package, in the Post-Install Actions section, select the Deactivate target fields and data-driven events that are not in the package checkbox. To rename the deactivated target fields and data-driven events with a user-defined prefix, select Apply a prefix to all deactivated objects, and enter a prefix. This can help you identify any fields or data-driven events that you may want to review for cleanup post-install.
9. Click Install.
10. Click OK.

1. From the menu bar, click > Application Builder > Install Packages.

2. In the Package Installation Log section, click the package that you want to view.
3. In the Package Installation Log page, in the Object Details section, click View All Errors.
   

   Note: To view individual logs, in the Errors column of the log you want to view, click the Failures link or Warnings link. Clicking View All Errors, Failures, or Warnings opens the specific errors on a different page.

4. Click the Export icon to export the log file.
5. Click Close.

For a list of packaging installation log messages and remediation information for common messages, see Package Installation Log Messages.

1. Go to the Applications page.

   1. From the menu bar, click .

   2. Under Application Builder, click Applications.

2. In the Applications section, select the Due Diligence Project Application.

3. On the Advanced Workflow Tab, click ‘Activate’ in the top right corner of the page. Note: Complete the data feed set up prior to activating advanced workflow. Verify the data feed is selected in Launch Event node.

4. Then click ‘Save Workflow’ in the top left corner of the page.

The following table summarizes the list of changes from the previous version. Refer to the data dictionary for complete list of changes and comparison .

Users may encounter unexpected errors when reloading or saving existing records after Engage is enabled. This occurs with clients who have upgraded from a previous version of the offering or environments with records that were created before Engage was enabled.

To resolve the issue:

1. Open the affected record.

2. Update the Engage Status field to New. Users can also update all the existing records using bulk update.

3. Save the record.