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Background documentationNavigating Compliance Tasks Locate this document in the navigation structure

 

This table lists the following:

  • Main compliance tasks.

  • Roles that perform the tasks.

  • Where you perform the tasks in the user interface.

Compliance Task

Activity

Role

Work Center

Navigation Path

Documenting compliance initiatives

Creating and editing organizations

Cross Regulation Organization Administrator, Cross Regulation Organization Owner

Master Data

  Master Data   Organizations   Organizations  

Assigning users to global roles

Cross Regulation Organization Administrator, Global Regulation Administrator, Cross Regulation Internal Control Manager

Access Management

  Access Management   GRC Role Assignments   Organizations  

Creating and editing regulations and policies

Global Regulation or Policy Administrator

Master Data

  Master Data   Regulations and Policies   Regulations, Master Data   Regulations and Policies   Policies  

Creating and editing indirect entity-level controls

Cross Regulation Process and Control Administrator

Master Data

  Master Data   Activities and Processes   Indirect Entity-Level Controls  

Creating and editing risk catalog

Cross Regulation Process and Control Administrator

Master Data

  Master Data   Risk and Responses   Risk Catalog  

Creating and editing account groups

Cross Regulation Process and Control Administrator

Master Data

  Master Data   Accounts   Accounts  

Creating and editing control objectives

Cross Regulation Process and Control Administrator

Master Data

  Master Data   Objectives   Control Objectives  

Creating and editing global process and control catalog

Cross Regulation Process and Control Administrator

Master Data

  Master Data   Activities and Processes   Business Processes  

Creating and assigning test plans

Cross Regulation Test Plan Administrator, Global Process Administrator, Cross Regulation Internal Auditor

Assessment

  Assessment   Manual Test Plans   Manual Test Plans  

Assigning subprocesses to organizations

Cross Regulation Internal Controls Manager

Master Data

  Master Data   Organizations   Organizations   Open   Subprocess   tab

Assigning persons to compliance-initiative specific roles

Internal Controls Manager

Access Management

  Access Management   GRC Roles Assignments   Organizations    Access Management   GRC Role Assignments   Business Processes  

Assigning indirect entity-level controls to organizations

Internal Controls Manager

Master Data

  Master Data   Organizations   Organizations   Open   Indirect Entity-Level Controls  

Creating and editing the question library

Cross Regulation Question/Survey Administrator

Assessment

  Assessment   Surveys   Questions Library  

Creating and editing the assessment surveys

Cross Regulation Question/Survey Administrator

Assessment

  Assessment   Surveys   Survey Library  

Planning

Creating and editing the consolidated account group balances (Financial Compliance only)

Internal Controls Manager, Global Organization Owner

Master Data

  Master Data   Accounts   Consolidated Account Group Balances  

Creating and editing the organization level balances (Financial Compliance only)

Internal Controls Manager, Global Organization Owner

Master Data

  Master Data   Accounts   Organization-Level Account Group Balances  

Determining organizations and processes are in scope of assessments

Internal Controls Manager, Global Organization Owner

Compliance Specific Initiative

  Compliance Structure   Accounts   Organization-Level Account Group Balances  

Creating and editing the risk assessment

Internal Controls Manager

Assessment

  Assessment   Assessment Planning   Planner   Risk Assessment type  

Creating and editing the controls risk assessment

Internal Controls Manager

Assessment

  Assessment   Assessment Planning   Planner   Control-Risk Assessment type  

Planning assessments and tests

Internal Controls Manager

Compliance Specific Initiative

  Assessment   Assessment Planning   Planner  

Creating and editing the business rules

Cross Regulation Continuous Monitoring Business Rule Specialist

Rule Setup

  Rule Setup   Continuous Monitoring   Business Rule  

Creating and editing the data sources.

Cross Regulation Continuous Monitoring Business Rule Specialist

Rule Setup

  Rule Setup   Continuous Monitoring   Data Sources  

Creating and editing the automated control monitoring

Cross Regulation Continuous Monitoring Job Specialist

Rule Setup

  Rule Setup   Scheduling   Automated Control Monitoring  

Scheduling event monitoring jobs

Cross Regulation Continuous Monitoring Job Specialist

Rule Setup

  Rule Setup   Scheduling   Event Queue  

Creating Ad Hoc Issues

Business User, Cross Regulation Issue Administrator

My Home

  My Home   Ad Hoc Tasks   Issues  

Performing assessments and tests

Assessing and testing

Process Tester, Organization Owner, Organization Tester, Internal Auditor, Process Owner, Subprocess Owner, Control Owner

My Home

  My Home   Work Inbox  

Remediating issues

Remediating issues

Flexible assignment

My Home

  My Home   Work Inbox  

Viewing reports

All

All

Report Center

Certifying results

Planning sign-off

Internal Controls Manager

Assessment

  Assessment   Assessment Planning   Planner   Sign-Off type  

Monitoring sign-off

Internal Controls Manager

Assessment

  Certification   Sign-off Monitor   Sign-off Monitor  

Policy Management

Adapt policy as needed

Policy Administrator, Policy Manager and Policy Owner

Master Data

  Master Data   Regulations and Policies   Policies