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Procedure documentationIdentifying, Creating, and Assigning Ad Hoc Issues Locate this document in the navigation structure

 

Issues that did not arise from an evaluation-based test can be an issue, question, action item, or planned task. Ad hoc issues can be prompted by compliance or business events or result from identifying a problem area. An ad hoc issue can be created for any object, depending on the configuration done through the Customizing activities.

If an Issue Owner or an object has not been identified, the issue is sent to the Issue Administrator. This person can then assign an owner, an object or both. The Issue Administrator or the designee then processes the issue.

Prerequisites

Complete the Customizing activities at   Governance, Risk and Compliance   Common Component Settings   Ad Hoc Issues  .

Procedure

  1. Navigate to   My Home   Ad Hoc Tasks   Issues  

  2. Select Create and enter the Issue Details:

    • Issue Name (required)

    • Description (required) – Provide any details about the issue.

    • Priority (required) – Options are high, medium, or low.

    • Object Type – Select the correct object type.

    • Object Name

    • Owner – Enter the object owner name, or use the search functionality to select the owner.

      Note Note

      An object owner is not required. If this field is left blank, the issue is routed to the issue administrator.

      End of the note.

    • Source

    • Issue Date (required)

    • Due Date

    • Notes

  3. If you need to gather information, save your issue as a draft and return to complete it later.

  4. Choose Add to select a regulation from the dialog box on the Regulation tab.

  5. Attach files or links on the Attachment and Links tab.

  6. Choose Save Draft to save changes or Cancel to abort the session. If the issue was raised in error, you can void the issue.

  7. Choose Submit after you have completed all information.