Summary

This customizable version of Expert Rules allows your team to leverage rules-based tests in your analysis, curated by your own subject matter experts based on your firm's unique industry-specific or organizational needs.

• Type: Rules-based (expert rules)
• Level of analysis: Transaction
• Default weight: 0 (configurable during setup)
• Included in control point bundle(s): v.3  |  v.4  |  v.5  |  v.6

This type of control point is initially configured using a template, but is created and managed by App Admins within your MindBridge libraries. Once created, custom control points will be available for use within engagements using one of these libraries, and can be used in parallel with the Expert Rules control point offered out-of-the-box with MindBridge.

As an App Admin, learn how to create and manage custom Expert Rules control points in your libraries.

• Create new custom Expert Rules control points
• View additional custom Expert Rules details
• Edit custom control points
  • Resolve errors
  • Replace rules
• Export a ruleset
• Delete a custom control point

Create a new custom Expert Rules control point

These control points are created from a template filled out by your team of experts.

Step 1: Export the Expert Rules template

This template is available to export from the Custom control point screen in the library.

1. In the library, go to the General ledger tab. You will see settings for general ledger analyses.
2. Select Custom control points from the side menu on the left. If you have created any custom control points, you will see them listed here.
3. Select Create control point near the top-right side of the screen. A window will appear.
4. Open the Control point type menu, then select Expert Rules from the list of options. The fields in the window will change based on your selection.
5. Select Export the template below the description field. The .xlsx file will appear in your computer's default download location.

Step 2: Add rules to the template

Each expert rule represents a potential monetary flow between a specific debit and credit pairing. The first sheet within the template ("Rules") provides guidance on adding rules and setting the risk value of each rule.

Before you get started, note the following requirements:

• Columns with headers marked with an asterisk (*) must be filled out.
• Instructions and column headers must not be altered or removed.
• Each rule within the template must contain a unique monetary flow (i.e., debit and credit pairing).
• The risk value assigned to each rule must appear as a whole number between 0 and 100.
• The template must contain between 1 and 10,000 rules.

The second sheet ("MAC") contains the account grouping structure used in the library from which the template was exported. Use this reference sheet to help you find the appropriate MAC codes for the accounts you want to apply rules to.

To add rules to the template...

1. Enter your desired MAC code into the Debit code or Credit code column on the Rules sheet.
   The adjacent Debit label or Credit label cell populates automatically* with the relevant label.
2. Enter a risk value beside each rule to represent the level of risk posed by the monetary flow, within the context of your industry or organization. 
3. Optionally, enter a description for each rule to help your team understand their purpose.
4. When you are satisfied, Save the template.

Step 3: Create a control point from the template

Once the template has been filled out, import it to create a new custom Expert Rules control point.

1. On the Custom control points screen, select Create control point near the top-right side of the screen. A window will appear.
2. Open the Control point type menu, then select Expert Rules from the list of options. The fields in the window will change based on your selection.
3. Enter a unique name for your new control point.
   Note: The label "Expert Rules" will prefix the name you enter across all of MindBridge's dashboards. For example, the name "Manufacturing in Canada" would appear as "Expert Rules - Manufacturing in Canada" in filters, control point details, etc.
4. Describe the overall purpose of the ruleset found in the template.
5. Drag and drop the completed template into the indicated section, or browse for the file on your computer.
   Select Back to remove the selected file if you want to import a different one.
6. When you are satisfied, select Save to create the control point.
   You will go to the details page, which contains the control point's rules, each with its own unique rule ID*.
   Note: Upon creation, custom Expert Rules control points appear in Draft mode, and can be edited (i.e., rules can be added and removed from within the app) as needed. Once Published, control points can no longer be edited or deleted.
7. Optionally, update the global rules to assign a risk value to monetary flows that are considered complex, as well as those that do not match a rule in the imported ruleset.
8. When you are satisfied, Publish the control point to finalize it.
   You will go back to the Custom control points screen. The control point will indicate the Published status, and can be added to your custom risk scores as needed.

Select Cancel to discard your unsaved work and go back to the Custom control points screen without creating a new control point.

Select Close to go back to the Custom control points screen without publishing the control point.

View additional custom Expert Rules details

1. On the Custom control points screen, open the more actions menu ( ) in line with the control point you want to see.
2. Select View details.

This page provides additional information about global rules, as well as each of the rules within your custom Expert Rules control point.

Global rules

Global rules are applied to all custom Expert Rules control points. These rules allow App Admins to assign a specific risk value to each of these rules. If MindBridge matches a monetary flow to one of these rules, it applies the assigned risk value to that flow.

• Complex flows: Detects instances of complex monetary flows in the dataset. Learn more about complex monetary flows
• No matched rules: Detects instances wherein monetary flows did not match any rules.

Rules in custom ruleset

Custom rules represent a potential monetary flow between a specific debit and credit pairing.

• Rule ID: The position of the rule within the template.
• Debit: The account that is being debited.
• Credit: The account that is being credited.
• Assigned risk: The risk value assigned to the rule.
• Description: The purpose of the rule.
  
  

Edit a custom control point

While a custom Expert Rule control point is still marked as a Draft, you can make changes to it as needed.

1. To edit the control point or its rules, access edit mode...
   • From the Custom control points screen: Open the more actions menu ( ) in line with the control point you want to update.
   • From the details page: Open the Actions menu near the top-right side of the screen.
2. Select Edit.
   You will enter edit mode.
3.  Optionally:
   • Rename the control point, or update its description.
   • Update the global rules to assign a risk value to monetary flows that are considered complex, as well as those that do not match a rule in the imported ruleset.
   • Use the Debit menu in line with a specific rule ID to indicate which account will be debited.
   • Use the Credit menu in line with a specific rule ID to indicate which account will be credited.
   • Enter a risk value beside each rule to represent the level of risk posed by the monetary flow, within the context of your industry or organization. 
     Note: Rules with a risk value of 0 (zero) will not contribute to the total control point score.
   • Update the description of individual rules.
   • Select the delete icon ( ) to remove a rule from the control point.
     A confirmation window will appear. Select Delete to permanently delete the rule.
4. When you are satisfied, Save your changes.

Select Discard changes to discard your recent unsaved work.

Resolve errors

If your template contains errors, such as missing data or non-unique flows, MindBridge will indicate the nature of the issue, highlight any impacted rules in red, and bring those rules to the top of the list so you can see them right away. When you enter edit mode, the specific fields causing issues are indicated with a red border. 

In the example image below, several fields are causing issues:

• Rules 30 and 31 are using the same debit and credit accounts — each rule must contain a unique debit and credit pairing.
• Rule 32 has a risk value over 100, and rules 33, 34, and 35 have an empty risk value field — each rule must be assigned a risk value between 0 and 100.
• Rule 36 is missing the grouping code for the account being debited, rule 37 is missing the grouping code for the account being credited, and rule 38 is missing both of the required grouping codes.

Follow the steps above to resolve these issues.

Replace rules

While a custom Expert Rule control point is still marked as a Draft, you can replace the existing rules with a new ruleset. 

1. To replace the entire ruleset, access edit mode...
   • From the Custom control points screen: Open the more actions menu (  ) in line with the control point you want to update.
   • From the details page: Open the Actions menu near the top-right side of the screen.
2. Select Edit.
   You will enter edit mode.
3. Open the Actions menu near the top-right side of the screen.
4. Select Replace rules.
5. Follow steps 4 to 6 in Step 3: Create a control point from the template to create and finalize the control point.

Select Cancel to discard your recent unsaved work.

Export a custom control point

Rulesets from custom Expert Rules control points can be exported as needed. An exported ruleset can be updated as desired, then imported as a template when creating new Expert Rules control points. 

1. Access the Export action...
   • From the Custom control points screen: Open the more actions menu ( ) in line with the ruleset you want to export.
   • From the details page or within edit mode: Open the Actions menu near the top-right side of the screen.
2. Select Export rules.
   The .xlsx file will appear in your computer's default download location.

Duplicate a custom control point

Any Expert Rules control point can be duplicated to create a point-in-time copy of it, which you can modify as desired without affecting the original. You can duplicate custom Expert Rules control points with any status.

1. Access the Duplicate action...
   • From the Custom control points screen: Open the more actions menu ( ) in line with the ruleset you want to duplicate.
   • From the details page or within edit mode: Open the Actions menu near the top-right side of the screen.
2. Select Duplicate. A new ruleset will be created in Draft, and you will be brought to the edit screen, where you can make changes to it as needed.
3. When you are satisfied, Publish the control point to finalize it.
   You will go back to the Custom control points screen. The control point will indicate the Published status, and can be added to your custom risk scores as needed.
   
   

Delete a custom control point

Custom Expert Rules control points that are in Draft or have been Published can be deleted at any time, however, once they are Active (i.e., they have been added to a risk score), they cannot be deleted.

1. Access the Delete action...
   • From the Custom control points screen: Open the more actions menu ( ) in line with the control point you want to delete.
   • From the details page or within edit mode: Open the Actions menu near the top-right side of the screen.
2. Select Delete.
   A confirmation window will appear.
3. To permanently delete the control point and all of its rules, select Delete.
   The control point will be removed from the control point group, and you will go back to the Custom control point screen.

Select Cancel to go back to the Custom control point screen without deleting the control point.

Anything else on your mind? Chat with us or submit a request for further assistance.

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