TN Grci Release1

Technical Note Printed: 09/30/08
Oracle Fusion Governance, Risk and Compliance

Intelligence Release 1.0
TECHNICAL NOTE DOCUMENT
Release: 1.0

Product: Oracle Fusion Governance, Risk and Compliance Intelligence

Document Information
Document Participants

Author
Date Author
25/08/2008 Mumu Pande
Srinivasan Ganesan
Contributors
Date Author
25/08/2008 Krishnaprasad Iyer
Madavi. Gopaladasu
Pournima.Patil

Reviewers
Date Name
25/09/2008 Srinivasan Ganeshan
Pournima.Patil
Krishnaprasad Iyer

Approvers
Date Name
25/09/2008 Mumu Pande

Revision History

Version Date Change Summary
09/25/2008 Logical Model and Physical Model sections added.
Technical Note Oracle Proprietary and Confidential 1

Table of Contents

Overview........................................................................................................................................................................ 3
1 Architecture................................................................................................................................................................. 3
2 Data model .................................................................................................................................................................. 4
2.1 Logical model................................................................................................................................ 4
2.2 Physical model .............................................................................................................................. 8
3 Lineage information.................................................................................................................................................. 24
3.1 Tables and scripts ........................................................................................................................ 24
3.2. Document types loaded from GRCM into GRCI ....................................................................... 30
4. Scheduled GRCI load............................................................................................................................................... 52


Overview
This document is intended to be a GRCI Release 1 technical release note to provide information on architecture, data
model, lineage and scheduling the GRCI data load. All other information such as creating and loading the GRCI
model, installation and configuration of reports and dashboards are covered in GRCI Installation guide, GRCI User
guide and in the word documents that accompany the zip files released through patches.

1 Architecture
GRCI Release 1 architecture is shown in the diagram below. As illustrated in the diagram, data from GRCM is loaded
into GRCI using PL/SQL programs. This data is then fetched to OBIEE and BIP based reports and dashboards.


2 Data model
2.1 Logical model
The logical data model for GRCI Release 1 is shown below:
Assessments


Control Tests


Issues


Controls

Risks


2.2 Physical model
The physical data model for GRCI Release 1 is shown below:
Physical Model
Account


Cycle


FourthMap


Organization


Process


Risk


Control


Control Test


Assessment


Issue


Time


Assessments Star


Control Tests Star


Issues Star


Controls Star


Risks Star


3 Lineage information
3.1 Tables and scripts
This section provides the source (GRCM) to target (GRCI) lineage information on various objects such as Constants,
Dimensions and Facts and the scripts used to load them. The first table illustrates lineage of Constants used in GRCI,
followed by lineage of dimensions and facts. As indicated by the file name column in all the three tables, the load of
constants, dimensions and facts is accomplished using sql scripts.

Constants in GRCI

GRC
M
sour
ce
table
Constant
values
GRCI target able File
name
Load procedure
N/A 1, 'Low'
2, 'Med-Low'
3, 'Medium'
4, 'Med-High'
5, 'High'
COMPLEXITYTYPE Const
ants_
Load
_pkg.
sql
LOADCOMPLEXITYTY
PE
N/A 1, 'Manual'
2,
'Automated'
3, 'Auto
Monitoring'
CONTROLMETHODTYPE Const
ants_
Load
_pkg.
sql
LOADCONTROLMETH
ODTYPE
N/A 1,
'Preventive'
2, 'Detective'
3,
'Corrective'
CONTROLTYPE Const
ants_
Load
_pkg.
sql
LOADCONTROLTYPE
N/A 1, 'Low'
2, 'Med-Low'
3, 'Medium'
4, 'Med-High'
5, 'High'
DOCLEVELTYPE Const
ants_
Load
_pkg.
sql
LOADDOCLEVELTYP
E
N/A http://localho
st/OracleGR
CManager'
'http://localh
ost/analytics/
saw.dll?Das
hboard'
GRCD_SERVERURL Const
ants_
Load
_pkg.
sql
LOADSERVERURL
N/A 0, 'Material
Weakness
1,
'Significant
Deficiency'
2,
'Deficiency'
3,
'Documentati
on Only'
ISSUESEVERITYTYPE Const
ants_
Load
_pkg.
sql
LOADISSUESEVERIT
YTYPE
N/A 0, 'Process'
1,
'Evaluation'
2, 'Control
ISSUETYPE Const
ants_
Load
_pkg.
LOADISSUETYPE

Evaluation'
3,
'Assessment'
sql
N/A 1,
'Unreliable'
2, 'Informal'
3,
'Standardize
d'
4,
'Monitored'
5,
'Optimized'
MATURITYTYPE Const
ants_
Load
_pkg.
sql
LOADMATURITYTYPE
N/A 1, 'Process'
2, 'Policy'
PROCESSTYPE Const
ants_
Load
_pkg.
sql
LOADPROCESSTYPE
N/A 1, 'Low'
2, 'Med-Low'
3, 'Medium'
4, 'Med-High'
5, 'High'
RISKEXPOSURETYPE Const
ants_
Load
_pkg.
sql
LOADRISKEXPOSURE
TYPE
N/A 1,
'Negligible'
2, 'Low'
3, 'Medium'
4, 'High'
5, 'Extreme'
RISKPROBABILITYTYPE Const
ants_
Load
_pkg.
sql
LOADRISKPROBABILI
TYTYPE
N/A 1, 'Financial
Fraud'
2, 'Theft of
Assets'
3, 'Theft of
Services'
4,
'Regulatory
Compliance'
5, 'Breach of
Security'
RISKTYPE Const
ants_
Load
_pkg.
sql
LOADRISKTYPE

The next table illustrates lineage of Dimensions used in GRCI
GRCM source table GRCI target table File name Load procedure
1. PROCESS
2.
GRCD_ACCOUNT_
D
ACCOUNTMAP Dims_Loa
d_pkg.sql
LOADACCOUNTMAP
VwDocumentHistory ASSERTION Dims_Loa
d_pkg.sql
LOADASSERTION

1.VwDocumentHistor
y
2.Default dimension
values
ASSESSMENT Dims_Loa
d_pkg.sql
LOADASSESSMENT

VwDocumentHistory
AUDITTEST Dims_Loa
d_pkg.sql
LOADAUDITTEST
1. Audit Test
2. Control
AUDITTESTCONT
ROLS
Dims_Loa
d_pkg.sql
LOADAUDITTESTCONTRO
LS

1.vwDocumentHistor
y
2. ControlType
3.
ControlMethodType
4. MaturityAsIsType
5.
MaturityTargetType
6. ComplexityType
CONTROL Dims_Loa
d_pkg.sql
LOADCONTROL
1.Control
2. Risk
CONTROLRISKS Dims_Loa
d_pkg.sql
LOADCONTROLRISKS
1. Process
2. GRCD_CYCLE_D
FINANCIALMAP Dims_Loa
d_pkg.sql
LOADFINANCIALMAP
PROCESS FOURTHMAP Dims_Loa
d_pkg.sql
LOADFOURTHMAP
1.
GRC_MAP_NODES
2. GRC_MAPS
GRCD_ACCOUNT
_D
Dims_Loa
d_pkg.sql
LOADACCOUNTD
1.
GRC_MAP_NODES
_TL
2. GRC_MAPS
GRCD_ACCOUNT
_TL
Dims_Loa
d_pkg.sql
LOADACCOUNTTL
CONTROL GRCD_CONTROL_
HIERARCHY_B
Dims_Loa
d_pkg.sql
LOADCONTROLHIERARCH
YB
Default dimension
values
GRCD_CONTROL_
TEST_D
Dims_Loa
d_pkg.sql
LOADCONTROLTESTD
1. GRC_MAPS
2.
GRC_MAP_NODES
GRCD_CYCLE_D Dims_Loa
d_pkg.sql
LOADCYCLED
1. GRC_MAPS
2.
GRC_MAP_NODES
_TL
GRCD_CYCLE_TL Dims_Loa
d_pkg.sql
LOADCYCLETL
1. GRC_MAPS
2.
GRC_MAP_NODES
GRCD_FMAP_D Dims_Loa
d_pkg.sql
LOADFMAPD
1. GRC_MAPS
2.
GRC_MAP_NODES
_TL
GRCD_FMAP_TL Dims_Loa
d_pkg.sql
LOADFMAPTL
1. GRC_MAPS
2.
GRC_MAP_NODES
GRCD_ORGANIZA
TION_D
Dims_Loa
d_pkg.sql
LOADORGANIZATIOND
1. GRC_MAPS
2.
GRC_MAP_NODES
_TL
GRCD_ORGANIZA
TION_TL
Dims_Loa
d_pkg.sql
LOADORGANIZATIONTL
GRC_FISCAL_PERI
ODS
GRCD_PERIOD_D Dims_Loa
d_pkg.sql
LOADTIMED
GRC_FISCAL_PERI
ODS
GRCD_TIME_D Dims_Loa
d_pkg.sql
LOAD_GRCD_TIME_D
UserSecurityAttribute
s
GRCD_USER_ROL
E
Dims_Loa
d_pkg.sql
LOADUSERROLE
UserSecurityAttribute
s
GRCD_USERS Dims_Loa
d_pkg.sql
LOADUSERS
1.VwDocumentHistor
y DocMeta
2. Revisions
ISSUE Dims_Loa
d_pkg.sql
LOADISSUE

3. Documents
1. PROCESS
2.
ORGANIZATIONMA
P
3.
GRCD_ORGANIZAT
ION_D
ORGANIZATIONM
AP
Dims_Loa
d_pkg.sql
LOADORGANIZATIONMAP
1.VwDocumentHistor
y
2. ProcessType,
ComplexityType
3. DocLevelType
PROCESS Dims_Loa
d_pkg.sql
LOADPROCESS
1. PROCESS
2. ACCOUNTMAP
PROCESSACCOU
NTMAP
Dims_Loa
d_pkg.sql
LOADPROCESSACCOUNT
MAP
1. Assessment
2. Process
PROCESSASSESS
MENTS
Dims_Loa
d_pkg.sql
LOADPROCESSASSESSME
NTS
1. Control
2. Process
PROCESSCONTR
OLS
Dims_Loa
d_pkg.sql
LOADPROCESSCONTROL
S
1. FinancialMap
2. Process
PROCESSFINANCI
ALMAP
Dims_Loa
d_pkg.sql
LOADPROCESSFINANCIAL
MAP
1. FourthMap
2. Process
PROCESSFOURT
HMAP
Dims_Loa
d_pkg.sql
LOADPROCESSFOURTHM
AP
1. OrganizationMap
2. Process
PROCESSORGANI
ZATIONMAP
Dims_Loa
d_pkg.sql
LOADPROCESSORGANIZA
TIONMAP
1. Risk
2. Process
PROCESSRISKS Dims_Loa
d_pkg.sql
LOADPROCESSRISKS
VwDocumentHistory PROCESSTEST Dims_Loa
d_pkg.sql
LOADPROCESSTEST
1.VwDocumentHistor
y
2. RiskExposureType
3.
RiskProbabilityType
4. RiskType
5. Default Dimension
values
RISK Dims_Loa
d_pkg.sql
LOADRISK
1.
GRC_SCOPED_CO
NTROLS
2. CONTROL
GRCD_SCOPED_
CONTROLS
Dims_Loa
d_pkg.sql
LOADSCOPEDCONTROLS
GRC_SCOPE_PLAN
S
GRCD_SCOPE_PL
ANS
Dims_Loa
d_pkg.sql
LOADSCOPEPLANS

Note: The view 'vwDocumentHistory' uses the tables DocMeta, Revisions and Documents as sources.

The following table illustrates lineage of Facts used in GRCI

GRCM source
table
GRCI target table File name Load procedure
1.
ControlDesignRes
ult
ASSESSMENTCONT
ROLDESIGNRESULT
S
Facts_Loa
d_pkg.sql
LOADASSESSCONTROLDE
SIGNRESULTS

2. ASSESSMENT

1.
ControlOperatingR
esult
2. ASSESSMENT
ASSESSMENTCONT
ROLOPRESULTS
Facts_Loa
d_pkg.sql
LOADASSESSMENTCONTR
OLOPRESULTS
1.
ProcessDesignRes
ult
2. Assessment
ASSESSMENTPROC
ESSDESIGNRESULT
S
Facts_Loa
d_pkg.sql
LOADASSESSPROCESSDE
SIGNRESULTS
1.
ProcessOperating
Result
2. Assessment
ASSESSMENTPROC
ESSOPRESULTS
Facts_Loa
d_pkg.sql
LOADASSESSMENTPROCE
SSOPRESULTS
1.
RiskDesignResult
2. Assessment
ASSESSMENTRISKD
ESIGNRESULTS
Facts_Loa
d_pkg.sql
LOADASSESSRISKDESIGN
RESULTS
1.
RiskOperatingRes
ult
2. Assessment
ASSESSMENTRISKO
PERATINGRESULTS
Facts_Loa
d_pkg.sql
LOADASSESSMENTRISKO
PRESULTS
1.
vwDocumentHistor
y
2. Control
AUDITTESTRESULT Facts_Loa
d_pkg.sql
LOADAUDITTESTRESULT
1. AuditTestResult
2. AuditTest
AUDITTESTRESULT
S
Facts_Loa
d_pkg.sql
LOADAUDITTESTRESULTS
1.vwDocumentHist
ory
2. Control
CONTROLDESIGNR
ESULT
Facts_Loa
d_pkg.sql
LOADCONTROLDESIGNRE
SULT
1.vwDocumentHist
ory
2. Control
CONTROLOPERATIN
GRESULT
Facts_Loa
d_pkg.sql
LOADCONTROLOPERATIN
GRESULT
1.PROCESS
2.
PROCESSCONTR
OLS
3. CONTROL
4 ASSESSMENT
5.
ASSESSMENTCO
NTROLDESIGNR
ESULTS
6.
CONTROLDESIG
NRESULT
7.
AssessmentContro
lOpResults
8.
CONTROLOPERA
TINGRESULT
9. ProcessRisks
10.
AssessmentRiskD
esignResults
11.
RiskDesignResult
GRCD_ASSESSMEN
T_F
Facts_Loa
d_pkg.sql
LOADASSESSMENTF

12.
ASSESSMENTRIS
KOPERATINGRE
SULTS
13.
RISKOPERATING
RESULT
14.
PROCESSASSES
SMENTS
15.
ASSESSMENTPR
OCESSDESIGNR
ESULTS
16.
PROCESSDESIG
NRESULT
17.
AssessmentProce
ssOpResults
18.
PROCESSOPERA
TINGRESULT
1. AuditTest
2.
AuditTestResults
3. AuditTestResult
4.
AuditTestControls
5. Control
6. ProcessControls
7. Process
GRCD_AUDIT_TEST
_RESULT_F
Facts_Loa
d_pkg.sql
LOADAUDITTESTRESULTF
1.
GRCD_PROCESS
_TEST_RESULT_
F
2. ProcessTest
3.
GRCD_AUDIT_TE
ST_RESULT_F
4. AuditTest
GRCD_CONTROL_T
EST_F
Facts_Loa
d_pkg.sql
LOADCONTROLTESTF
1. Issue
2. Risk
3. Control
GRCD_ISSUE_F Facts_Loa
d_pkg.sql
LOADISSUEF
1. Process
2. ProcessTest
3.
ProcessTestResult
4.
ProcessTestResult
s
GRCD_PROCESS_T
EST_RESULT_F
Facts_Loa
d_pkg.sql
LOADPROCESSTESTRESU
LTF
1.
vwDocumentHistor
y
2. Process
PROCESSDESIGNR
ESULT
Facts_Loa
d_pkg.sql
LOADPROCESSDESIGNRE
SULT
1.
vwDocumentHistor
y
2. Process
PROCESSOPERATIN
GRESULT
Facts_Loa
d_pkg.sql
LOADPROCESSOPERATIN
GRESULT

1.
vwDocumentHistor
y
2. Control
PROCESSTESTRES
ULT
Facts_Loa
d_pkg.sql
LOADPROCESSTESTRESU
LT
ProcessTestResult PROCESSTESTRES
ULTS
Facts_Loa
d_pkg.sql
LOADPROCESSTESTRESU
LTS
1.
vwDocumentHistor
y
2. Risk
RISKDESIGNRESUL
T
Facts_Loa
d_pkg.sql
LOADRISKDESIGNRESULT
1.
vwDocumentHistor
y
2. Risk
RISKOPERATINGRE
SULT
Facts_Loa
d_pkg.sql
LOADRISKOPERATINGRES
ULT

3.2. Document types loaded from GRCM into GRCI
The tables in this section below provide a column level description of various document types loaded from GRCM
(source application) into GRCI. The document types listed above each table, begin with SOA_ in the GRCM
application and some doc types such as

EML Email
MPO Organization Map
MPF Financial Map
MPA Audit or Accounting Map
MAP Optional 4
th
Map

created for reference/creation purposes of the other doc types or merely informational.

BPC Business Process

CS Column Database
Type
Report
Column
Comments
dDocName varchar(30) DDocName Content server id i.e. Soa001542
DDocType varchar(30) Document type i.e. Soa_bpc
dDocTitle varchar(255) Title Document title from user
dDocAuthor varchar(50) Login id of the document creator from
CS
dRevisionID bigint The revision of the document (CS
perspective)
dRevLabel varchar(10) Same as drevisionid (CS perspective)
dCreateDate datetime CreateDate This is rounded on all revision other than
the first
dInDate datetime RevisionDate When doc is checked into CS
dStatus varchar(20) Status of the documents from CS
perspective
dReleaseDate datetime Date the document was released by CS
to the user (user perspective)
dID int DID Unique CS id incremented any time a
document of any type is checked into
CS
xSOAProcessOwner varchar(100) Login id of the process owner
xSOAIcPath varchar(1024) OrganizationP
ath
Org map path to where the bp lives i.e.
Orgmaproot
xSOACOSOComponen
t
varchar(30) COSOCompon
ent
String value mapping to the
cosocomponent list from the
e100server.config

xSOADescription varchar(1024) Description Bpcover-basics description field
xSOAAcctCycle varchar(1024) X Accounting cycle path from the account
map
xSOADeptMgmt varchar(30) Dept. Manager approver
xSOASPTeam varchar(30) Project approver
xSOAFinTeam varchar(30) Financial approver
xSOACOSOCatagory varchar(30) COSOCategor
y
cosocategory list from the
e100server.config file
xSOATestOwner varchar(100) Login id of the test owner
xSOAComplexity varchar(30) ProcessCompl
exity
Bpcover-basics complexity
xSOADocumentState varchar(30) State User document states defined in the
e100server.config
xSOACurrentWfUser varchar(100) Login id of the current workflow user
xSOADisplayProcessO
wner
varchar(100) ProcessOwner Full name from user admin for the owner
of the process
xSOADisplayTestOwne
r
varchar(100) TestOwner Full name from user admin for the test
owner
xSOADisplayDeptMgmt varchar(100) DepartmentAp
prover
Full name from user admin for the dept.
Manager approver
xSOADisplaySPTeam varchar(100) ProjectApprove
r
Full name from user admin for the
project approver
xSOADisplayFinTeam varchar(100) FinanceApprov
er
financial approver
xSOAFinStmtCap varchar(1024) Path from fin map
xSOADocRevID varchar(30) Revision Revision of the document (user
perspective (this is used in the parent
start rev/end rev))
xSOADocLevel varchar(30) Integer value mapping to soadoclevel
the list from the e100config
xSOAMAReviewer1 varchar(100) Login id for the Management
Assessment Reviewer
xSOAMAReviewer1Dis
play
varchar(100) Full name from user admin for the
Management Assessment Reviewer
xSOAMAReviewer2 varchar(100) Login id for the Management
Assessment Executive Reviewer
xSOAMAReviewer2Dis
play
Management Assessment Executive
Reviewer
xComments varchar(255) Comment
xSOAMACOReviewer varchar(100) Login id of the control owner reviewer
used in MAC to review assessment
results for a control before they get to
the MAC owner
xSOADisplayMACORe
viewer
control owner reviewer used in MAC to
review assessment results for control
before they get to the MAC owner
xSOAProcessType varchar(30) ProcessType

AST - Assertion
CS Column Database
Type
Report
Column
Comments
DDocName varchar(30) dDocName Content server id i.e. Soa001543
DDocType varchar(30) Document type i.e. Soa_ast
DDocTitle varchar(255) Title Document title from user
DDocAuthor varchar(50) Login id of the document creator from

CS user applet
DRevisionID Bigint The revision of the document (CS
perspective)
DRevLabel varchar(10) Save as drevisionid (CS perspective)
DCreateDate datetime CreateDate The date/time stamp of the first revision
of the document, all other revisions are
rounded
DInDate datetime RevisionDate When doc is checked into CS
DStatus varchar(20) Status of the document from CS
perspective
DReleaseDate datetime Date the document was released by CS
DID int dID Unique CS id incremented any time a
document of any type is checked into CS
XSOAIcPath varchar(1024) Org map path to where the ast lives (this
is the same as the bp xsoa icpath)
XSOADescription varchar(1024) Description Assertion-basics description field
e100server.config
XSOAParentID varchar(30) BP content server id i.e. Ddocname
SOA001542
xSOAParentRevID varchar(30) BP content server doc rev id i.e.
Xsoadocrevid
xSOAProcessPath varchar(1024) Title of the Parent i.e. Title of the BP
XSOARootID varchar(30) BP content server id i.e. SOA001542
XSOADocRevID varchar(30) Revision Revision of the assertion
xSOAParentStartRevID varchar(30) Start revision of the parent BP
xSOAParentEndRevID varchar(30) End revision of the parent BP
xSOARootStartRevID varchar(30) Start revision of the root document (BP)
xSOARootEndRevID varchar(30) End revision of the root document (BP)
XComments varchar(255) Comment

RSK - Risk
CS Column Database
Type
Report
Column
Comments
dDocName varchar(30) dDocName Content server id i.e. Soa001544
dDocType varchar(30) Document type i.e. Soa_rsk
dDocAuthor varchar(50) Login id of the document creator from
CS user applet
perspective)
dCreateDate datetime CreateDate The date/time stamp of the first revision
rounded
dInDate datetime RevisionDate When doc is checked into CS
dStatus varchar(20) Status of the document from CS
perspective
dRelease datetime Date date the document was released
by CS to the user (user perspective)
dID int dID Unique CS id incremented any time a
xSOADescription varchar(1024) Description Risks-basics description field
xSOARiskExposure varchar(30) RiskSignificanc
e
Integer value mapping to the
riskexposures list from the

e100server.config
xSOAParentID varchar(30) BP content server id i.e. SOA001542
xSOARiskType varchar(30) RiskType Integer value mapping to the risktypes
list from the e100server.config file
xSOAParentRevID varchar(30) BP content server rev id
xSOARelatedDocRevID varchar(100) List of related document revision ID(s)
(dids) pipe delimited i.e. 3423|3428
xSOARelatedDocID varchar(100) List of related document ID(s)
(ddocname) pipe delimited i.e.
SOA001545|SOA001543
xSOARootID varchar(30) BP content server id i.e. SOA001542
xSOADocRevID varchar(30) Revision Revision of the risk
xSOAParentStartRevID varchar(30) Start revision of the parent document
(BP)
xSOAParentEndRevID varchar(30) End revision of the parent document
(BP)
xSOARiskProbability varchar(30) RiskLikelihood Integer value mapping to the
riskprobability list from the
xSOARiskRating varchar(30) RiskRating Integer value that is the
xsoariskprobability multiplied by the
xsoariskexposure
xComments varchar(255) Comment

CTC - Control
CS Column Database
Type
Report
Column
Comments
dDocName varchar(30) dDocName Content server id i.e. Soa001550
dDocType varchar(30) Document type i.e. Soa_ctc
dDocAuthor varchar(50) Login id of the document creator from CS
user applet
perspective)
dCreateDate datetime CreateDate The date/time stamp of the first revision
rounded
dInDate datetime Revision Date When doc is checked into CS
perspective
dReleaseDate datetime Date the document was released by CS
dID int dID Unique CS id incremented any time a
xSOACOSOComponen
t
varchar(30) String value mapping to the
cosocomponent list from the
e100server.config
xSOAMaturityAsIs varchar(30) Integer value mapping to the soamaturity
xSOAMaturityTarget varchar(30) Integer value mapping to the soamaturity
xSOADescription varchar(1024) Description Control-description description field
xSOAKeyControl varchar(30) Boolean value Is this a Key control?
True/false

xSOACOSOCatagory varchar(30) String value mapping to the
cosocategory list from the
xSOAControlObjective varchar(100) Pipe delimited value mapping to the
controlobjective list from the
xSOAControlType varchar(30) Integer value mapping to the controltype
xSOAControlMethod varchar(30) Integer value mapping to the
controlmethod list from the
xSOAComplexity varchar(30) Integer value mapping to the
soacomplexity list from the
e100server.config
xSOAParentID varchar(30) BP content server id i.e. SOA001542
xSOAParentRevID varchar(30) BP content server rev id
xSOARelatedDocRevID varchar(100) List of related document revision ID(s)
(did) pipe delimited i.e. 3429|3430
xSOARelatedDocID varchar(100) List of related document ID(s)
SOA001546|SOA001544
xSOADocRootID varchar(30) BP content server id i.e. SOA001542
xSOADocRevID varchar(30) Revision of the control
xSOAParentStartRevID varchar(30) Start revision of the parent document
(BP)
xSOAParentEndRevID varchar(30) End revision of the parent document
(BP)
xSOAFrequency varchar(30) String value mapping to the Frequency
xSOAAuditType varchar(30) String value mapping to the audittype list
from the e100server.config file
xSOAControlClass varchar(30) String value mapping to the controlclass
xSOAControlSubClass varchar(30) String value mapping to the
controlsubclass list from the
xSOARelatedControlDo
cID
varchar(100) List of related document ID(s)
SOA001547|SOA001549
xSOARelatedControlDo
cRevID
varchar(100) List of related document revision ID(s)
(dids) pipe delimited i.e. 3431|3433
xSOATargetSampleSiz
e
varchar(30) Target sample size for the year for a
control to be sufficiently tested
xSOAControlOwner varchar(100) Login id of the control owner
xSOADisplayControlOw
ner
varchar(100) Full name from user admin for the contro
owner

CTT - Process Test
CS Column Database
Type
Report
Column
Comments
dDocName varchar(30) Content server id i.e. Soa001552
dDocType varchar(30) Document type i.e. Soa_ctt
dDocTitle varchar(255
)
Document title from user

dDocAuthor varchar(50) Login id of the document creator
from CS user applet
perspective)
dRevLabel varchar(10) Same as drevisionid (CS
perspective)
dCreateDate datetime The date/time stamp of the first
revision of the document, all other
revisions are rounded
dInDate datetime When doc is checked into CS
perspective
dReleaseDate datetime Date the document was released
by CS to the user (user
perspective)
dID int Unique CS id incremented any time
a document of any type is checked
into CS
xSOAProcessOwn
er
varchar(100
)
Login id of the document creator
from CS user applet
xSOAIcPath varchar(102
4)
Org map path to where the ctt lives
(this is the same as the bp
xsoaicpath)
xSOADescription varchar(102
4)
Process Evaluation basics tab
description
xSOAAcctCycle varchar(102
4)
Accounting cycle path from the
account map
xSOADeptMgmt varchar(30) Dept. Manager approver
xSOASPTeam varchar(30) Project approver
xSOAFinTeam varchar(30) Financial approver
xSOAControlType varchar(30) String value mapping to the
testcontroltype list from the
xSOATestOwner varchar(100
)
Login id of the document tester
from CS user applet
xSOADocumentSt
ate
docstatetestcover list from the
xSOACurrentWfUs
er
varchar(100
)
Login id of the current workflow
user
xSOATestPeriod varchar(30) String value mapping to the
fiscalperiods list from the
xSOAProcessPath varchar(102
4)
Title of the Parent i.e. Title of the
BP
xSOATestType varchar(100
)
testcovertype list from the
e100server.config
xSOADisplayProce
ssOwner
varchar(100
)
Display name of the process owner
xSOADisplayTestO
wner
varchar(100
)
Display name of the test owner
xSOADisplayCurre
ntWfUser
varchar(100
)
Display name of the current
workflow user
xSOADisplayDept
Mgmt
varchar(100
)
Display name of the dept. Manager
approver
xSOADisplaySPTe
am
varchar(100
)
Display name of the project
approver

xSOADisplayFinTe
am
varchar(100
)
Display name of the financial
approver
xSOARelated
DocRevID
varchar(100
)
Related document rev. ID (did) of
the item that this test is against
(BPC)
xSOAFinStmtCap varchar(102
4)
Path from fin map
xSOARelatedDocI
D
varchar(100
)
Related document ID (ddocname)
of the item under which this action
item will be displayed to user (BPC)
xSOATestPeriodSt
artDate
xSOARootID varchar(30) BPC content server id i.e.
SOA001490
xSOADocRevID varchar(30) Revsion of the test
xSOARelatedDocS
tartRevID
varchar(30) Start revision of the related
document under which this test will
be displayed
xSOARelatedDocE
ndRevID
varchar(30) End revision of the related
document under which this test will
be displayed
xSOAWorkflowIniti
ator
varchar(30) Login id of the workflow initiator
xSOADisplayWorkf
lowInitiator
varchar(100
)
Display name of the workflow
initiator
xSOARootStartRev
ID
varchar(30) Start revision of the root document
(BPC)
xSOARootEndRevI
D
varchar(30) End revision of the root document
(BPC)

CTF Process Test Result
CS Column Database
Type
Report
Column
Comments
DdocName varchar(30) Content server id i.e. Soa001557
DDocType varchar(30) Document type i.e. Soa_ctf
DDocTitle varchar(255
)
DDocAuthor varchar(50) Login id of the document creator
from CS user applet
DRevisionID bigint The revision of the document (CS
perspective)
DrevLabel varchar(10) Same as drevisionid (CS
perspective)
DcreateDate datetime The date/time stamp of the first
DInDate datetime When doc is checked into CS
perspective
perspective)
dID int Unique CS id incremented any
time a document of any type is
checked into CS
4)
Process Evaluation basics tab
description

)
from CS user applet
xSOADocumentSt
ate
xSOAParentID varchar(30) CTC content server id i.e.
SOA001547
xSOAParentRevID varchar(30) CTC content server rev id
4)
GTT
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
Related document ID (did) of a
control this result is against
xSOATestResult varchar(30) String value mapping to the
testresult list from the
xSOATestPeriodSt
artDate
xSOARootID varchar(30) GTT content server id i.e.
SOA001541
xSOADocRevID varchar(30) Revision of the test result
xSOAParentStartR
evID
varchar(30) Start revision of the parent
document (CTC)
xSOAParentEndRe
vID
varchar(30) End revision of the parent
document (CTC)
xSOARootStartRev
ID
(GTT)
xSOARootEndRevI
D
(GTT)
xSOAActualSampl
eSize
varchar(30) Test sample size

ISS Issue

CS Column Database
Type
Report
Column
Comments
dDocName Varchar(30) Content server id i.e. SOA001558
dDocType varchar(30) Document type i.e. SOA_ISS
)
from CS
perspective)
perspective)
dCreateDate datetime Date the document was created,
WHY is this rounded on all
revisions other than first
perspective

perspective)
dID Int Unique CS id incremented any
checked into CS
xSOAProcessOwn
er
varchar(100
)
from CS user applet
4)
Org map path to where the iss
lives i.e. Orgmaproot
4)
Issue-basics description field
xSOAIssueLevel varchar(30) Integer value mapping to the
issuelevel list from the
e100server.config
xSOADocumentSt
ate
varchar(30) User document states defined in
the e100server.config
xSOACurrentWfUs
er
varchar(100
)
user
xSOAIssueremedy
CompDate
varchar(30) Expected completion date of
remediation
xSOAIssueRemed
yRequired
varchar(30) Boolean value for required
remediation
4)
Title of the Parent
xSOAIssueOriginat
or
varchar(30) Login id of the creator of the issue
xSOADisplayProce
ssOwner
varchar(100
)
Display name of the process
owner
xSOADisplayCurre
ntWfUser
varchar(100
)
workflow user
xSOARelatedDocR
evID
varchar(100
)
the item that this issue is against a
bpc/mac
xSOADisplayIssue
Originator
varchar(30) Display name of the issue initiator
xSOAIssueType varchar(30) Integer value mapping to the
issuetype list from the
e100server.config
xSOARelatedDocI
D
varchar(100
)
of the item under which this issue
will be displayed to user (BPC/
MAC)
xSOARootID varchar(30) BP content server id i.e.
SOA001542
xSOADocRevID varchar(30) Document revision ID of the issue
xSOARelatedDocS
tartRevID
document under which this issue
will be displayed
xSOARelatedDocE
ndRevID
will be displayed
xSOAWorkflowIniti
ator
xSOADisplayWorkf
lowInitiator
varchar(100
)
workflow initiator
xSOARootStartRev
ID
(BP)
xSOARootEndRevI varchar(30) End revision of the root document

D (BP)
xSOAAddlRelated
DocID
varchar(30) Addition document id (ddocname)
of the item that this issue is
against
(BPC/AST/RSK/CTC/MAC)
xSOAAddlRelated
RevID
varchar(30) Additional document rev ID (did)
of the item that this issue is
against
xSOAAddlRelated
DocStartRevID
varchar(30) Start revision of the item that this
issue is against
xSOAAddlRelated
DocEndRevID
varchar(30) End revision of the item that this
issue is against

GTT Audit Test (can be created from a test plan or from a bp)

CS Column Database
Type
Report
Column
Comments
dDocName varchar(30) Content server id i.e. SOA001564
dDocType varchar(30) Document type i.e. SOA_GTT
)
Document title from the user
from CS
perspective)
perspective)
perspective
perspective)
checked into CS
xSOAProcessOwn
er
varchar(100
)
from CS user applet
4)
Control evaluation-basics
description
xSOAControlType varchar(30) Integer value mapping to the
controltype list from the
e100server.config file (THIS WILL
ALWAYS BE All Controls for
control based testing)
)
from CS user applet
xSOADocumentSt
ate
xSOACurrentWfUs
er
varchar(100
)
user

xSOATestType varchar(100
)
testcovertype list from the
e100server.config
xSOADisplayProce
ssOwner
varchar(100
)
from CS user applet
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOADisplayCurre
ntWfUser
varchar(100
)
current workflow user
xSOATestPeriodSt
artDate
xSOAWorkflowIniti
ator
xSOADisplayWorkf
lowInitiator
varchar(100
)
workflow initiator
xSOAControlDocID
s
varchar(102
4)
Control document Rev ID(s)
(dids) of the controls that will be
tested, if we init testing from a test
plan the ddocnames that were in
this field in a SOA_GCT are
translated into their dids so we
test a specific revision of the
control(s) (pipe delimited)

GTF Audit Test Result Form

CS Column Database
Type
Report
Column
Comments
dDoctype varchar(30) Document type i.e. SOA_GTF
)
from CS user applet
perspective)
perspective)
dCreateDate datetime Date the document was create,
perspective
perspective)
dID int Unique CS id incremented any
checked into CS
4)
GTF-basics description field
)
Login id of the tester from CS user
applet
xSOADocumentSt
ate

xSOAParentID varchar(30) GTT content server id (ddocname
) i.e. SOA001564
xSOAParentRevID varchar(30) GTT content server rev id (did) i.e.
3467
4)
Title of the parent i.e. Title of the
GTT
xSOADisplayTestO
wner
varchar(100
)
test owner (display name)
xSOARelatedDocR
evID
varchar(100
)
Related document rev id (did) did
of a control (CTC) this result is
against
xSOATestPeriodSt
artDate
xSOARootID varchar(30) GTT content server id i.e.
SOA001564
xSOAParentStartR
evID
document (GTT)
xSOAParentEndRe
vID
document (GTT)
xSOARootStartRev
ID
(GTT)
xSOARootEndRevI
D
(GTT)
xSOAActualSampl
eSize
varchar(30) Actual test samples taken by the
tester to obtain the result

MAC Management Assessment Cover
CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_MAC
)
from CS user applet
dRevisionID Bigint The revision of the document (CS
perspective)
perspective)
perspective
perspective)

checked into CS
xSOAProcessOwn
er
varchar(100
)
from CS user applet
4)
Org map path to where the bp
4)
MAC-basics description field
xSOADocumentSt
ate
xSOACurrentWfUs
er
varchar(100
)
user
4)
Title of the parent i.e. Title of the
BPC
xSOADisplayProce
ssOwner
varchar(100
)
Display name of the process
owner
xSOADisplayCurre
ntWfUser
varchar(100
)
workflow user
xSOARelatedDocR
evID
varchar(100
)
the item that this assessment is
against (BPC)
xSOARelatedDocI
D
varchar(100
)
Relateddocument ID (ddocname)
of the item that this assessment is
against (BPC)
xSOATestPeriodSt
artDate
xSOARootID varchar(30) BPC content server id i.e.
SOA001490
xSOADocRevID varchar(30) Revision of the assessment doc
(MAC)
xSOARelatedDocS
tartRevID
will be displayed
xSOARelatedDocE
ndRevID
will be displayed
xSOAWorkflowIniti
ator
xSOADisplayWorkf
lowInitiator
varchar(100
)
workflow initiator
xSOARootStartRev
ID
(BPC)
xSOARootEndRevI
D
(BPC)
xSOAMAReqContr
olDocIDs
varchar(102
4)
List of required control document
ID(s) to be assessed (ddocnames)
pipe delimited i.e.
SOA001497|SOA001505
xSOAMAOptContr
olDocIDs
varchar(102
4)
List of optional control document
ID(s) to be assessed (ddocnames)
pipe delimited i.e.
SOA001502|SOA001500
xSOAMAReqContr
olDocRevIDs
varchar(102
4)
List of required control document
rev ID(s) to be assessed (did) pipe
delimited i.e. 3367|3376 (these

fields will be blank in the prepare
doc state)
xSOAMAOptContr
olDocRevIDs
varchar(102
4)
List of optional control document
rev ID(s) to be assessed (did) pipe
delimited i.e. 3372|3416
xSOAMAType varchar(100
)
List of assessment types to be
performed pipe delimited mapped
to the mgmtassessmentcovertype
list in the e100server.config
xSOAMASurvey varchar(102
4)
URL to the survey that must be
taken for the survey portion of the
assessment mapped to the
surveylinks list in the
e100server.config
xSOAMAPercentC
omplete
varchar(30) Integer value mapping to the
managementassessmentpercentc
ompletevalues list from the
xSOAMAProOwner
CertQ
varchar(102
4)
Process owner certification
statement mapped to translation
files key _
_certificationquestionstatementpro
cessowener
xSOAMAProOwner
CertA
varchar(30) String value mapping the
managementassessmentcertificati
onanswer list from the
xSOAMAReviewer
CertQ
varchar(102
4)
Reviewer certification statement
mapped to translation files key
_certificationquestionstatementrev
iewer
xSOAMAReviewer
CertA
xSOAMAExeRevie
werCertQ
varchar(102
4)
Executive certification statement
mapped to translation files key
_certificationquestionstatementex
ereviewer
xSOAMAExeRevie
werCertA
xSOAMARiskDocR
evIDs
varchar(102
4)
List of related document revision
ID(s) (dids) pipe delimited for
risks to be assessed i.e.
3364|3365
xSOADisplayMAR
eviewer1
varchar(100
)
Full name from user admin of the
assessment reviewer
xSOAMAReviewer
1
varchar(100
)
Login id from user admin of the
assessment reviewer
xSOADisplayMAR
eviewer2
varchar(100
)
Full name from user admin of the
exec assessment reviewer
xSOAMAReviewer
2
varchar(100
)
Login id from user admin of the
exec assessment reviewer
xSOAMADueDate Datetime When assessment is due for
completion, user field from date
picker

xSOAControlOwne
rs
varchar(102
4)
Login ids from user admin of
allcontrol owners in the
assessment pipe delimited
XSOADisplayContr
olOwners
varchar(102
4)
Full name from user admin of all
control owners in the assessment
pipe delimited
xSOAMASurveyCo
mplete
varchar(30) String value of True or False to
denote if survey has been taken

COF Control Operating Result Form

CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_COF
)
from CS user applet
perspective)
perspective)
perspective
perspective)
dID Int dID Unique CS id incremented any
checked into CS
4)
4)
COF-basics description field
)
applet
xSOADocumentSt
ate
xSOAParentID varchar(30) MAC content server id (ddocname
) i.e. SOA001539
xSOAParentRevID varchar(30) MAC content server rev id (did)
i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner (display name)
xSOARelatedDocR
evID
varchar(100
)
Related document rev id (did) of a
control (CTC) this result is against
i.e. 3416

xSOARelatedDocI
D
varchar(100
)
against i.e. SOA001500
xSOATestPeriodSt
artDate
xSOARootID varchar(30) MAC content server id i.e.
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)
xSOARootStartRev
ID
(MAC)
xSOARootEndRevI
D
(MAC)

CDF Control Design Result Form
CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_CDF
)
from CS user applet
perspective)
perspective)
perspective
perspective)
checked into CS
4)
4)
)
applet
xSOADocumentSt
ate
) i.e. SOA001539

i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
control (CTC) this result is against
i.e. 3416
xSOARelatedDocI
D
varchar(100
)
xSOATestPeriodSt
artDate
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)
xSOARootStartRev
ID
(MAC)
xSOARootEndRevI
D
(MAC)

ROF Risk Operating Result Form

CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_ROF
)
from CS user applet
perspective)
perspective)
dCreateDate Datetime The date/time stamp of the first
dInDate Datetime When doc is checked into CS
perspective
perspective)
checked into CS
4)

4)
)
applet
xSOADocumentSt
ate
) i.e. SOA001539
i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
risk (RSK) this result is against i.e.
3416
xSOARelatedDocI
D
varchar(100
)
of a risk (RSK) this result is
xSOATestPeriodSt
artDate
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)
xSOARootStartRev
ID
(MAC)
xSOARootEndRevI
D
(MAC)

RDF Risk Design Result Form

CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_RDF
)
from CS user applet
perspective)
perspective)
dCreateDate Datetime The date/time stamp of the first

dInDate Datetime When doc is checked into CS
perspective
perspective)
checked into CS
4)
4)
)
applet
xSOADocumentSt
ate
) i.e. SOA001539
i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
risk (RSK) this result is against i.e.
3416
xSOARelatedDocI
D
varchar(100
)
of a risk (RSK) this result is
xSOATestPeriodSt
artDate
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)
xSOARootStartRev
ID
(MAC)
xSOARootEndRevI
D
(MAC)

POF Process Operating Result Form

CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_POF

)
from CS user applet
perspective)
perspective)
perspective
perspective)
checked into CS
4)
4)
)
Login id of the tester from CS
user applet
xSOADocumentSt
ate
xSOAParentID varchar(30) MAC content server id
(ddocname ) i.e. SOA001539
i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
process (BPC) this result is
against i.e. 3416
xSOARelatedDocI
D
varchar(100
)
of a process (BPC) this result is
xSOATestPeriodSt
artDate
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)

xSOARootStartRev
ID
varchar(30) Start revision of the root
document (MAC)
xSOARootEndRevI
D
(MAC)

PDF Process Design Result Form
CS Column Database
Type
Report
Column
Comments
dDocType varchar(30) Document type i.e. SOA_PDF
)
from CS user applet
perspective)
perspective)
perspective
perspective)
checked into CS
4)
4)
)
applet
xSOADocumentSt
ate
) i.e. SOA001539
i.e. 3419
4)
MAC
xSOADisplayTestO
wner
varchar(100
)
test owner
xSOARelatedDocR
evID
varchar(100
)
process (BPC) this result is
against i.e. 3416
xSOARelatedDocI
D
varchar(100
)
of a process (BPC) this result is

xSOATestPeriodSt
artDate
SOA001541
xSOAParentStartR
evID
document (MAC)
xSOAParentEndRe
vID
document (MAC)
xSOARootStartRev
ID
(MAC)
xSOARootEndRevI
D
(MAC)


4. Scheduled GRCI load
GRCI datastore can be loaded by executing the Execute_load.sql. If a scheduled load is a requirement the same sql file
can be scheduled. Depending on the environment at the customer site, this file can be scheduled using a database
scheduler, cron job or windows scheduler or a third party scheduler.

Here is an example of how it can be done using oracle database scheduler.
Create a procedure by using the Execute_Load.sql and include the statement
Execute immediate set role ALL; and also specify AUTHID CURRENT_USER while creating the procedure as
highlighted in below image. The image below lists some of the package.procedure calls in execute_load.sql. All the
package.procedure calls should be listed in the example procedure shown below.

To have this procedure run periodically we need to schedule it using the DBMS_JOB as shown below.

declare
v_job number;
begin
dbms_job.submit(job => v_job,
what => 'begin execute_GRCI; end;',
next_date=>sysdate,
interval=>'sysdate+1/144');
end;

Run this anonymous block to register your job (what => 'begin execute_GRCI; end;') to be run immediately
(next_date=>sysdate) and have it repeat with the interval (interval=>'sysdate+1/144'). The interval over here is 10
mins, which can be increased as desired.

Eg.:
Execute daily 'SYSDATE + 1'
Execute once per week 'SYSDATE + 7'
Execute hourly 'SYSDATE + 1/24'
Execute every 10 min. 'SYSDATE + 10/1440'
Execute every 30 sec. 'SYSDATE + 30/86400'
Do not re-execute NULL

The status of the jobs can be checked from the table ALL_JOBS.

With respect to the frequency of the load, GRCI can be loaded weekly, monthly, quarterly etc., and as explained above
it helps in analyzing various processes that happen in GRCM. In addition to these scheduled data loads, GRCI can also
be loaded after successful completion of events or business processes (in the implemenation site) such as the ones
listed below as examples:
- Fiscal period or fiscal year closure in the accounting system
- Completion of an interal audit etc.


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Technical Note Printed: 09/30/08

Oracle Fusion Governance, Risk and Compliance

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