Risk Management Activity PDF

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Activity Guide
D96213GC30
Edition 3.0 | February 2018 | D102530
Learn more from Oracle University at education.oracle.com

Authors Copyright © 2018, Oracle and/or its affiliates. All rights reserved.
David Christie Disclaimer
Bruce Ingram This document contains proprietary information and is protected by copyright and other intellectual
property laws. You may copy and print this document solely for your own use in an Oracle training
course. The document may not be modified or altered in any way. Except where your use
Technical Contributors constitutes "fair use" under copyright law, you may not use, share, download, upload, copy, print,
and Reviewers display, perform, reproduce, publish, license, post, transmit, or distribute this document in whole or
in part without the express authorization of Oracle.

Julianna Dodick
Essan Jirman The information contained in this document is subject to change without notice. If you find any
problems in the document, please report them in writing to: Oracle University, 500 Oracle Parkway,
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If this documentation is delivered to the United States Government or anyone using the
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Mark Stebelton
b l e
Kathy Wohnoutka
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The U.S. Government’s rights to use, modify, reproduce, release, perform, display, or disclose these
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training materials are restricted by the terms of the applicable Oracle license agreement and/or the
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Table of Contents
Practices for Lesson 1: Introduction to Oracle Financial Reporting Compliance ................................... 5

Practices for Lesson 1 ............................................................................................................................. 6
Practices for Lesson 2: Introducing Oracle Cloud Navigation ................................................................. 7
Practices for Lesson 2: Overview ............................................................................................................. 8
Practice 2-1: Getting Started in Oracle Cloud Applications ........................................................................ 9
Practice 2-2: Using Personalizations ........................................................................................................ 17
Practices for Lesson 3: Migrating Risk and Control Data ........................................................................ 21
b le
fer a
Practice 3-1: Generating a Data Migration Template................................................................................. 23
a n s
-t
Practice 3-2: Populating a Data Migration Template .................................................................................
n r 25
n o
Practice 3-3: Importing a Populated Template .......................................................................................... 28
s a
) eฺh a
Practice 3-4: Associating Imported Perspectives with Objects ................................................................... 30
c o m
Practices for Lesson 4: Configuring Security ..........................................................................................
i d
33
c l eฺ t Gu
o ra den
Practice 4-1: Creating and Assigning Job Roles ....................................................................................... 35
i @ Stu
Practice 4-2: Creating Data Security Policies............................................................................................
n 43
s o ua totRoles
Practice 4-3: Mapping Data Security Policies
h is .............................................................................. 50
o
Practices for Lesson 5: Managing
l u Risks sande Controls ............................................................................ 53
Practices for Lesson i5: e o u
lฺOverviewt............................................................................................................. 54
a d e
( a nRisks and a Related Control ................................................................................. 55
Practice 5-1:i Creating
u a
Practice
n l iceand Accepting the Control Object ........................................................................ 59
5-2: Reviewing
s o
Elou Practice 5-3: Creating a Control and a Test Plan Independently of a Risk.................................................. 63
il Practice 5-4: Relating a Control to a Risk ................................................................................................. 66
Ad Practices for Lesson 6: Managing Assessments ..................................................................................... 69
Practice 6-1: Creating an Assessment Template ...................................................................................... 71
Practice 6-2: Creating an Assessment Plan.............................................................................................. 73
Practice 6-3: Initiating a Batch Assessment .............................................................................................. 76
Practice 6-4: Initiating an Impromptu Assessment .................................................................................... 79
Practice 6-5: Completing Assessments .................................................................................................... 81
Practices for Lesson 7: Managing Issues................................................................................................. 85
Practice 7-1: Creating an Issue Within Object Management ...................................................................... 87
Practice 7-2: Creating an Issue Within Issue Management ....................................................................... 89
Practice 7-3: Closing an Issue ................................................................................................................. 91
Practices for Lesson 8: Managing Reports .............................................................................................. 93
Copyright © 2018, Oracle and/or its affiliates. All rights reserved.
Oracle Risk Management Cloud: Financial Reptg Compliance Fund – Table of Contents iii
Practice 8-1: Generating an On-Demand Report ...................................................................................... 95
Practice 8-2: Scheduling a Report............................................................................................................ 98
Practices for Lesson 9: Additional Administration .................................................................................. 101
Demonstration 9-1: Setting Application Configurations.............................................................................. 103
Practice 9-2: Managing Lookups .............................................................................................................. 107
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iv Oracle Risk Management Cloud: Financial Reptg Compliance Fund – Table of Contents
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Practices for m Lesson
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Introduction
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Financial
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Practices for Lesson 1
Overview
There are no practices for Lesson 1.
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6 Practices for Lesson 1: Introduction to Oracle Financial Reporting Compliance

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Introducing u Cloud
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Practices for Lesson 2: Overview
Overview
In these practices, you will:
 Getting started in Oracle Cloud Applications.
 Using personalizations.
Use Firefox and the following usernames with the password assigned by OU Operations for all
activities unless otherwise specified:
 Students: RMCXX.Admin where XX = 01 to 40
RMCXX.Owner
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If the Navigator does not allow scrolling or
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8 Practices for Lesson 2: Introducing Oracle Cloud Navigation

Practice 2-1: Getting Started in Oracle Cloud Applications
Overview
In this practice, you will be
 Running the session warmer scripts.
 Signing in to Oracle Cloud Applications.

 Exploring the Global Area.
 Exploring a Risk Management work area.
 Signing out of Oracle Cloud Applications.
Assumptions e
a b l
Sign in as your RMCXX.Admin user as assigned by the instructor.
ns fer
r a
Tasks
no n-t
a
Running the Session Warmer Scripts
) has ฺ
Note: The processes cache the pages on the landing pad
c o m i d e helps with
browser which
navigation on the main pages. Run these processes ฺ
leonly one u
Gtime per student machine.
r a c n t
1. Open Firefox and enter the application’s URL
i @ t u de by your instructor.
o as provided
2. Navigate to: Demo Tools.
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Practices for Lesson 2: Introducing Oracle Cloud Navigation 9

3. Select Session Warmers.
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4. Select FIN and run the FIN SESSION WARMER script. a
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5. Sign in as your RMCXX.Admin user as assigned by the instructor.

Note: Popups should launch and automatically close. (If popup’s don’t open, check that
popup blocker is not enabled on the browser.) Be patient, each popup takes 3 to 4 minutes
to run.
6. Close the Fusion Application – Index Page tab.

Signing in to Oracle Cloud Applications
7. From the Environment Landing Page, select Primary Login.
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9. Sign in as your RMCXX.Admin user as assigned by the instructor.
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10. Click the Sign in button.
Note: After you sign in, you start on the Welcome Springboard, which contains one or
more icons that enable you to access the application pages directly.
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The global area at the top of the page
i
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available no matter where you are in
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Use the menus, icons, and tabs at the top of the Global Area to access features relevant to
any page in Oracle Fusion Applications.
 Use the Accessibility icon to set accessibility preferences. You can also access
preferences through the Personalization menu found under your username.
 Use the Show Help icon to toggle on or off Oracle Fusion Applications Help. The
Help icons appear within pages when toggled on and give you access to page or field-
related help topics.

 The Search icon in the global area lets you run a quick keyword search and, from the
search results, navigate to the page that contains what you are looking for.
11. Click in the Search field. Enter Navigator and click the Search icon.
12. Review the topics that appear. Open one of the topics.
13. Close the topic and the Search Results window.
14. Click in the Search field again.

Note: A list of recent searches is generated.
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15. Click the Personalize gears in the upper right hand corner of the Search window to open a
window where you can narrow your search by groups or categories.
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16. Click Cancel.
ilE 17. Click the Navigator icon > Risk Management > Setup and Administration.
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18. Click the Tasks panel tab to open Tasks Panel.

19. Click the Security Configuration link.
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20. Click your username and then the Sign Out link to sign out
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Practice 2-2: Using Personalizations
Overview
In this practice you will be:
 Setting user preferences.
 Creating a saved search.

 Configuring columns.
Assumptions
Sign in as RMCXX.Admin user as assigned by the instructor.
Setting User Preferences b le

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Tasks a ns
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1. Navigate to: Your username > Set Preferences. n o
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2. Navigate to: General Preferences > Regional.

3. Change the Time Zone to Your Time Zone.
4. Click Save.
5. Click on any other tasks to view the details.

6. Click the Vision logo or the Home icon to return to the Welcome Springboard.
Creating a Saved Search

7. Navigate to: Risk Management > Setup and Administration.
8. Expand the Search section.
9. In the Status search field, select Completed.

10. Click Search.
11. Click Save.
12. Enter or select the following:
Field or Checkbox Value e

a b l
Name Completed Jobs
ns fer
r a
Set as Default Deselect
n o n-t
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13. Click OK.
14. Navigate to: Tasks panel tab > Scheduling.

15. Navigate to: Tasks panel tab > Monitor Jobs.
Note: Your Saved Search named Completed Jobs ran automatically.
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Configuring Columns
a ns
16. Click View > Columns > Manage Columns. n-t r
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17. From the Visible Columns section, move End Date to the Hidden Columns section.
18. From the Hidden Columns section move Type to the Visible Columns section.
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19. Click OK.
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20. Click Done.
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Migrating t G u and Control
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Data
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Overview
In these practices, you will be:
 Generating a Data Migration template.
 Adding risk, control, and perspective data to a template

 Importing the populated template.
 Associating imported perspectives with objects.
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22 Practices for Lesson 3: Migrating Risk and Control Data

Practice 3-1: Generating a Data Migration Template
Overview
In this practice, you will be generating a blank Data Migration template.
Assumptions
Sign in as your RMCXX.Admin user, as assigned by the instructor.
Tasks
1. Navigate to: Risk Management Tools > Setup and Administration > Tasks panel tab >
Related Links > Data Migration.
2. Ensure the row for Financial Reporting Compliance is selected. b le
fer a
3. Click Create Import Template.
a ns
4. Select Without Data.
n-t r
5. Click OK. n o
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6. Click OK.
8. Select the row with your RMCXX.ADMIN user in the Run By column.
Practices for Lesson 3: Migrating Risk and Control Data 23

9. When the Message column of your row displays a Job completed link, click on it.
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a ns
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) has ฺ
10. In the Job Details dialog, click the Item Results link.ฺco
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11. Select Save File.
o ra den
12. Click OK.
a n i@ Stu
13. Save the file on your Desktop. s o u this
l o u s e
14. Click OK. e
lฺ your blank u
a diuse
Note: Rather(than e to downloaded template, to save time and reduce errors a
template
a n i
with some c e ns
predefined data for you to upload is provided.
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Practice 3-2: Populating a Data Migration Template
Overview
In this practice, you will be adding records to a predefined Data Migration template to be
imported into your Financial Reporting Compliance environment.
Assumptions
Signed in as your RMCXX.Admin user as assigned by your instructor.
Tasks
1. Navigate to Windows Explorer > WINNT (D:) > Risk Management >
RMC_Import_Template.xml. b le
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2. On the Home ribbon, click Find & Select.

3. Click on the Options button and select Within: Workbook.
4. Find all XX’s and replace with your number.
5. Click Replace All.
Note: You should have 63 replacements.
6. Click OK.

7. Click Close.
8. Click Save.
9. Select the Risk tab.
10. In its first empty row, enter:
Column Value
RISK_ID 30006
NAME XXRisk: Orders to Discontinued Suppliers
DESCRIPTION Orders are continued to be placed with
discontinued suppliers.
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CURRENCY_CODE USD
fer a
a ns
n-t r
11. Select the Control tab.
n o
a
has ฺ
)
m ide
ฺ c o
Column Value
c l e t Gu
CONTROL_ID 10011 o ra den
a n i@ Stu
NAME
s
XXControl:
o is
u thDiscontinued Suppliers Review
DESCRIPTION l o u During
s ePO approval, compare the supplier
e u
ilฺ e toname to suppliers on a current
a d
a n i ( ens discontinued supplier list.
s o u
CONTROL_METHOD
lic AUTOMATIC
l o u
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Ad 13. Select the RiskControl tab.
Column Value
RISK_ID 30006
CONTROL_ID 10011
TREATMENT STRATIFICATION KEY
Note: ID values are not imported into Financial Reporting Compliance. They exist solely for
use within the template, to establish relationships between objects.
15. Select the PerspectiveItemControl tab.

Column Value
PERSP_ITEM_ID 2
CONTROL_ID 10011
Note: The PERSP_ITEM_ID is the Value established for the XX-North America value in the
PerspectiveItem worksheet.
17. Select the PerspectiveItemRisk tab.
b le
fer a
Column Value
a ns
n-t r
PERSP_ITEM_ID 2
n o
a
RISK_ID 30006
) has ฺ
ฺ c om uide
19. Click Save.
r a cle nt G
20. Click Yes.
n i @o Stude
21. Close the spreadsheet.
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Practice 3-3: Importing a Populated Template
Overview
In this practice you will be importing the template containing your risk, control, and perspective
data.
Assumptions
Remain signed in as your RMCXX.Admin user.
Tasks
Data Migration. b le
2. Ensure the row for Financial Reporting Compliance is selected. fer a
a ns
3. Click Import Data File.
n-t r
4. n
Click Browse, and then navigate to D:\Labs\RiskManagement and select o
a
has ฺ
FRC_Import_Template.xml.
)
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5. Click Open.
6. Click Import.

8. Wait for the row with your RMCXX.ADMIN user in the Run By column has the Message of
Job completed.
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Practice 3-4: Associating Imported Perspectives with Objects
Overview
In this practice, you will be associating each of your perspective hierarchies with risks and
controls.
Assumptions
Remain signed in as your RMCXX.Admin user.
Tasks
Module Perspectives. b le
2. Select the Financial Reporting Compliance row. fer a
a ns
3. Click Edit.
n-t r
4. Click Create.
a no
5. Enter:
) has ฺ
Field Value
ฺ c om uide
Name cle nt G
XX-Vision Organization
r a
Control i@
o ude
Associated Object
a n S t
Required s oNou thi s
l o u s e
Status e
ilฺ e to u
Active
a d
a n i ( ens
o
Note:
s licYes in the Required field, a user cannot save an instance of the object
uIf you select
l o uunless a value for the perspective is selected.
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6. Click Save.
7. Click Create.
8. Enter:
Field Value
Name XX-Vision Organization

Associated Object Risk
Required No
Status Active
b le
9. Click Save. fer a
a ns
10. Click Create.
n-t r
11. Enter: n o
a
) has ฺ
Field Value
ฺ c om uide
Name cle nt G
XX-Vision Business
r a
Process
n i @o Stude
Associated Object
s o ua this
Control
Required l o u No se
i lฺ e t o u
Status d
(a nse Active
n i
o u a l ice
o
12.
s Save.
uClick
l
il E13. Click Create.
Ad 14. Enter:
Field Value
Name XX-Vision Business
Process
Associated Object Risk
Required No
Status Active
15. Click Save.

16. Click Create.

17. Enter:
Field Value
Name XX-Vision Compliance
Framework
Associated Object Control

Required No
Status Active
18. Click Save.

b le
19. Click Create.
fer a
20. Enter: a ns
n-t r
n o
a
Field Value
) has ฺ
XX-Vision Compliance om
ฺc Guide
Name
Framework l e
Associated Object Risk o rac dent
a n i@ Stu
Required
s
No
o u this
Status l o u Active
s e
e
ilฺ e to u
a d
21. Clicku a ni ( licens
Save.
22. u s o Done.
Click
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c o i d
eฺ t GSecurity
Configuring
c l u
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Overview
 Creating and assigning job roles.
 Creating data security policies.

 Mapping data security policies to roles.
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34 Practices for Lesson 4: Configuring Security

Practice 4-1: Creating and Assigning Job Roles
Overview
 Creating job roles and assigning them to your Owner user.
 Creating job roles and assigning them to your Assessor user.

 Creating job roles and assigning them to your Reviewer user.
 Creating and assigning Reporting roles.
 Viewing the running of security processes demonstration.
Assumptions e
a b l
ns fer
r a
Tasks
n on-t
a
Creating Roles for the Owner User
) has ฺ
1. Navigate to: Tools > Security Console.
ฺ c om uide
2. In the Roles tab, click the Create Role button. cle G
r a n t
n i @o Stude
s o ua this
l o u s e
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ilฺ e to u
a d
a n i ( ens
s o u lic
l o u
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Ad
3. Enter:
Field Value
Role Name XXVision NA Owner
Role Code XXVISION_NA_OWNER
Role Category GRC – Job Roles
4. Click Next.
Practices for Lesson 4: Configuring Security 35

5. Click Add Function Security Policy.
6. Search and select these privileges. Click Add Privilege to Role and click OK after each
b le
selection.
fer a
a ns
 GTG_CREATE_REMEDIATION_PLAN_PRIV n-t r
 GTG_VIEW_BASE_OBJECT_PRIV a no
) has ฺ
 GTG_ADD_ATTACHMENTS_TO_A_COMPLETED_CONTROL_ASSESSMENT_PRIV
ฺ c om uide
 GTG_ADD_ATTACHMENTS_TO_A_COMPLETED_BASE_OBJECT_ASSESSMENT_
PRIV
r a cle nt G
n i @o Stude
 GTG_ADD_ATTACHMENTS_TO_A_COMPLETED_RISK_ASSESSMENT_PRIV
 GTG_COMPLETE_ASSESSMENT_PRIV
s o ua this
l o u s e
 GTG_CREATE_MANAGER_ISSUE_FOR_CONTROL_ASSESSMENT
e
ilฺ e to u
a d
a
Note: In
i ( ens these privileges will be included on a predefined job role.
anfuture release,
s ouCancel. lic
7. uClick
lo
il E8. Click Next until you reach the Role Hierarchy page.
Ad 9. Click the Show Graph button. The role you are creating appears as a green circle.
10. Click the Add Role button.

11. Search and select each of these roles. Click Add Role Membership and click OK after
each selection.
 Financial Compliance Module Composite

 Control Manager Composite
 Risk Manager Composite

 Assessment Manager Composite
 Issue Manager Composite
 Perspective Manager Composite
 Issue Viewer Composite
 Control Operational Assessor Composite
b le
fer a
a ns
12. Click Cancel.
n-t r
Note: Confirm that the roles you selected appear as nodes surrounding your XXVision NA
n o
Owner job role. a
) has ฺ
ฺ c om uide
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13. Click Next.

14. Click Add User.
15. Search for your RMCXX.Owner user.
16. Select the user, and click Add User to Role.
17. Search for your RMCXX.Admin user.
19. Click OK.
20. Click Cancel.

21. Click Next.
Note: In a Summary and Impact Report page, expand the Role Hierarchy and Users
regions to review your work.
22. Select Save and Close.
23. Click OK.
Creating Roles for the Assessor User

24. Click Create Role.
25. Enter:
Field Value
b le
Role Name XXVision NA Assessor
fer a
Role Code XXVISION_NA_ASSESS a ns
n-t r
a no
) has ฺ
26. Click Next.
ฺ c om uide
r a cle nt G
i @ o Privilege
28. Search and select these privileges. Click Add
t u de to Role and click OK after each
selection.
u a n s S
o h i
l o us se t
lฺe to u
 GTG_VIEW_ iASSESSMENT_PRIV
d
i (a nsASSESSMENT_PRIV
 GTG_COMPLETE_
n
e
ua lic e
soGTG_ADD_ATTACHMENTS_TO_A_COMPLETED_CONTROL_ASSESSMENT_PRIV
l o u GTG_ADD_ATTACHMENTS_TO_A_COMPLETED_BASE_OBJECT_ASSESSMENT_
il E
Ad PRIV
 GTG_ADD_ATTACHMENTS_TO_A_COMPLETED_RISK_ASSESSMENT_PRIV
Note: In a future release, these privileges will be included on a predefined job role.
29. Click Cancel.

30. Click Next until you reach the Role Hierarchy page.
31. Click the Show Graph button. The role you are creating appears as a green circle.

each selection.

 Control Viewer Composite
 Control Operational Assessor Composite
34. Click Cancel.

35. Click Next.
36. Click Add User.
37. Search for your RMCXX.Assessor user. e
a b l
ns fer
39. Click OK. a
n-t r
40. Click Cancel. o
41. Click Next. a n
42. Select Save and Close. ) has ฺ
43. Click OK. ฺ c om uide
r a cle nt G
Creating Roles for the Reviewer User
n i @o Stude
44. Click Create Role.
s o ua this
45. Enter: l o u s e
e
ilฺ e to u
a d
Field an
i ( ens Value
s o u lic
l o uRole Name XXVision NA Reviewer
il E Role Code
Ad XXVISION_NA_REVIEW
46. Click Next.

selection.
 GTG_CREATE_CONTROL_PRIV
 GTG_EDIT_CONTROL_PRIV

49. Click Cancel.
each selection.

 Control Reviewer Composite
 Risk Reviewer Composite
b le
54. Click Cancel.
fer a
55. Click Next. a ns
n-t r
56. Click Add User. o
57. Search for your RMCXX.Reviewer user. a n
58. Select the user, and click Add User to Role. ) has ฺ
59. Click OK. ฺ c om uide
60. Click Cancel. r a cle nt G
61. Click Next. n i @o Stude
s o ua this
l o u s e
63. Click OK. e
ilฺ e to u
a d
i ( enReporting
Creating andnAssigning
a
s Roles
u l
o Create Role. i c
s
64. Click
u
lo
il E65. Enter:
Ad
Field Value
Role Name XXVision Reports Manager
Role Code XXVISION_REPORTS_MGR
66. Click Next.

selection.
 GTG_EDIT_SCHEDULE_PRIV

 GTG_SCHEDULE_CONTINUOUS_CONTROL_ANALYSIS_PRIV
 GTG_MANAGE_RISKS_AND_CONTROLS_SCHEDULES_PRIV
 GTG_SCHEDULE_SYNCHRONIZATIONS_PRIV
 GTG_SECURITY_TAB_IN_MANAGE_APPLICATION_CONFIGURATIONS_PRIV
 GTG_RUN_SCHEDULED_JOB_NOW_PRIV
69. Click Cancel.

b le
72. Click the Add Role button. fer a
a ns
n-t r
each selection.
n o
a
) h as
 Risk Reporting Composite
c o m ideฺ
 Control Reporting Composite
c l eฺ t Gu
 Assessment Reporting Composite o ra den
 Issue Reporting Composite ani
@ Stu
s o u this
l o u s e
e u
dilฺ se to
74. Click Cancel.
75. Click Next.i (a
76. Clicku a
Add
nUser.licen
u s o
E77.
l o Search for and add:
il
Ad
 RMCXX.Owner
 RMCXX.Reviewer
78. Click Cancel.

79. Click Next.
81. Click OK.
STOP: Your Instructor Performs the Following Steps

82. Navigate to Tools > Scheduled Processes.
83. Run the Import User and Role Application Security Data process.
Scheduling.

85. Select the row for User and Role Security Synchronization.
86. Click Run Now.
87. Click OK.
89. Expand Search.
90. Click Search.

91. Repeat clicking on search until its Message cell displays Job completed.
92. Return to the Scheduling page.
93. Select the row for Worklist Security Synchronization.
94. Click Run Now.
95. Click OK.
b le
fer a
97. Expand Search. a ns
n-t r
98. Click Search.
n o
a
has ฺ
99. Repeat clicking on search until its Message cell displays Job completed.
)
ฺ c om uide
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Practice 4-2: Creating Data Security Policies
Overview
In this practice, you will be:
 Creating job-level data security policies that use a value from one of your imported
perspectives as a component.
 Incorporating filters to select duty-level policies.
Assumptions
Tasks b le
fer a
Creating Policies for Your Owner User a ns
n-t r
n o
Related Links > Security Configuration. a
2. Click Actions > Create Data Security Policy. ) has ฺ
3. In the Details section, enter these values: ฺ c om uide
r a cle nt G
o ude
Field Valueni@ S t
a
u thi
oXXRisk s
Name
o u s e NA Data Access
l
lฺe toActive u s
Status d i
n i (a nse
o u a l i ce
4. Insthe Policy section, click Add.
l o u
il E5. Enter:
Ad
Field Value
Filter Name NA Perspective Value
Object Perspectives
Attribute XX-Vision Organization
Condition Equals
Value XX-North America
Include or Exclude Include
6. Click Add.

7. Enter:
Field Value
Filter Name Risk Duty Policy
Object Data Attributes

Attribute Data Role
Condition Equals
Value Risk Manager Data Security
Policy
b le
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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s o ua this
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8. Click Save and Close.
9. Click Actions > Create Data Security Policy.
10. Enter:
Field Value
Name XXControl NA Data Access
Status Active
11. In the Policy region, click Add.

12. Enter:
Field Value
Object Perspectives
Condition Equals
b le
fer a
13. Click Add.
a ns
14. Enter: n-t r
n o
a
Field Value ) has ฺ
Filter Name Control Duty Policy ฺc
om uide
a c le t G
Object o r
Data Attributes
d e n
Attribute Dataa n i@ Stu
Role
s o u this
Condition
l o u Equals
s e
e u
ilฺ e toControl Manager Data
Value a d
a n i ( ens Security Policy
o u l ic
s
Elou
il
Ad 15. Click Save and Close.
Creating Policies for Your Reviewer User

17. Enter:
Field Value
Name XXRisk NA Review Data
Access
Status Active

19. Enter:
Field Value
Object Perspectives
Condition Equals
b le
fer a
20. Click Add.
a ns
21. Enter: n-t r
n o
a
Filter Name ฺ
Risk Review Duty Policy c om uide
a c le t G
Object o r
Data Attributes
d e n
Role
s o u this
Condition
l o u Equals
s e
e u
ilฺ e toRisk Reviewer Data
Value a d
o u l ic
s
Elou
il
24. Enter:
Field Value
Name XXControl NA Review Data
Access
Status Active

26. Enter:
Field Value
Object Perspectives
Condition Equals
b le
fer a
27. Click Add.
a ns
28. Enter: n-t r
n o
a
Filter Name ฺ c
Control Review Duty Policy
om uide
a c le t G
Object o r
Data Attributes
d e n
Role
s o u this
Condition
l o u Equals
s e
e u
ilฺ e toControl Reviewer Data
Value a d
o u l ic
s
Elou
il
Creating Policies for Your Assessor User

31. Enter:
Field Value
Name XXControl NA Assess Data
Access
Status Active

33. Enter:
Field Value
Object Perspectives
Condition Equals
b le
fer a
34. Click Add.
a ns
35. Enter: n-t r
n o
a
Filter Name Control Assessor Dutyฺ c om uide
Policy r a cle nt G
Object i @o Stude
Data Attributes
n
Attribute s o uaRolethis
Data
l o u s e
Condition e
ilฺ e toEquals u
( a d
Value ni
a c e ns Control Operational
s ou li Assessor Data Security
lo u Policy
il E
Ad Include or Exclude Include

38. Enter:
Field Value
Name XXControl NA View Data
Access
Status Active

40. Enter:
Field Value
Object Perspectives
Condition Equals
b le
fer a
41. Click Add.
a ns
42. Enter: n-t r
n o
a
Filter Name ฺ c
Control Viewer Duty Policy
om uide
a c le t G
Object o r
Data Attributes
d e n
Role
s o u this
Condition
l o u Equals
s e
e u
ilฺ e toControl Viewer Data
Value a d
o u l ic
s
Elou
il

Practice 4-3: Mapping Data Security Policies to Roles
Overview
In this practice you will be mapping data security policies to job roles.
Assumptions
Tasks
1. Navigate to Risk Management Tools > Setup and Administration > Tasks panel tab >
Related Links > Security Configuration.
b le
Mapping Policies to Roles for the Owner User
fer a
2. In the Name Query by Example field, enter XXVision NA Owner job role. a ns
n-t r
3. In the Type field, select Job Role. n o
a
has ฺ
4. Hit enter.
)
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
e
ilฺ e to u
a d
a n i ( ens
s o u lic
l o u
il E
Ad
5. Click on your XXVison NA Owner link.

6. Click Edit.
7. For each of the following Data Security Policies, click Add, then Search for the Policy,
Select the row and click OK:
 XXRisk NA Data Access
 XXControl NA Data Access
 XXControl NA Assess Data Access

b le
fer a
a ns
8. Click Save and Close. n-t r
a no
Mapping Policies to Roles for the Reviewer User
) has ฺ
9. In the Name Query by Example field, enter XXVision NA
ฺ c omReviewer
u i d ejob role.
10. In the Type field, select Job Role.
r a cle nt G
11. Hit enter.
@ o ude
12. Click on your XXVison NA Reviewer a n i
link. s S
t
13. Click Edit. u s ou thi
e l o u s e
a d ilฺ eDatatoSecurity Policies, click Add, then Search for the Policy,
14. For each of the following
i ( and eclick
Select the row
a n nsOK:
u NAlReview
 oXXRisk i c Data Access
u s
lo  XXControl NA Review Data Access
il E
Mapping Policies to Roles for the Assessor User

16. In the Name Query by Example field, enter XXVision NA Assessor job role.
17. In the Type field, select Job Role.
18. Hit enter.
19. Click on your XXVison NA Assessor link.
20. Click Edit.
21. For each of the following Data Security Policies, click Add, then Search for the Policy,
Select the row and click OK:
 XXControl NA Assess Data Access
 XXControl NA View Data Access

b le
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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b le
fer a
a ns
n-t r
a no
h as
) e ฺ 5:
c o i d
Managing
c l eฺ tRisks
G u and Controls
o ra den
a n i@ Stu
s o u this
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Overview
 Creating a risk and using a Related Records feature to create a control related to the
risk.
 Reviewing and accepting the control object.
 Creating a second control independently of a risk and creating a test plan for it.
 Using a Related Controls feature to relate that second control to the risk.
b le
fer a
a ns
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) has ฺ
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54 Practices for Lesson 5: Managing Risks and Controls

Practice 5-1: Creating a Risk and a Related Control
Overview
 Creating a risk.
 Creating a related control.
Assumptions
Sign in as your RMCXX.Owner user, as assigned by the instructor.
Tasks
b le
Creating a Risk fer a
a ns
1. Navigate to: Financial Reporting Compliance > Risks > Risks tab.
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
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2. Click Create.
3. Enter:
Field Value
Name XXRisk: Duplicate Supplier Payments
Description Errors in handling of invoices may
result in duplicate payments to
suppliers.
Currency USD
Practices for Lesson 5: Managing Risks and Controls 55

Note: Do not make any selection in the Context Model and Analysis Model fields. These
apply to unsupported features. A Type field offers values for selection only if you have used
a Manage Lookups feature to populate it. A later practice covers the procedure for
populating the Type field.
b le
fer a
a ns
n-t r
a no
) has ฺ
Selecting a Perspective Value for the Risk ฺ c om uide
a c le t G
4. In the Perspectives section, select XX-Vision o r n
Organization.
d e
5. In the Available Perspective Itemsn
a i@selectSXX-North
field, tu America. Then click Move to
move that value to the Selected u
so e th
Perspectivei s Items field.
o u
i l ฺ el to us
i ( ad nse
o u an lice
l o us
il E
Ad
Note: For you Reviewer and Assessor users to have access to the risk, you must select
XX-North America in the XX-Vision Organization perspective, because this is the value
you included in data security policies you mapped to the roles you created for your users in
an earlier practice.

Creating a Related Control
6. In the Related Records section, click Create: Control.
7. Enter:
Field Value
Name XXControl: Identical Payment Amounts

Description Records of invoice payments contain
identical amounts and occur within a
week of one another.
Method Automated
b le
In Scope Assessment
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
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8. In the Perspectives section, select XX-Vision Organization.

9. In the Available Perspective Items field, select XX-North America. Then click Move to
move that value to the Selected Perspective Items field.

10. Click Submit.
Note: The State of your Control is In Review.
11. In the Create : Risk page, click Submit.
b le
fer a
a ns
n-t r
n o
a
) has ฺ
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Practice 5-2: Reviewing and Accepting the Control Object
Overview
 Reviewing and accepting your control.
 Adding details to your risk.
Assumptions
Sign in as your RMCXX.Reviewer and RMCXX.Owner users, as assigned by the instructor.
Tasks
b le
Reviewing Your Control fer a
a ns
1. Sign in as RMCXX.Reviewer.
n-t r
2. Navigate to: Financial Reporting Compliance > Controls > Overview tab.
a no
) h as in practice 5-1
Note: In the Search Results section, the name of the control created
appears, and its task description is Review.
c o m ideฺ
3. Click the XXControl: Identical Payment Amountselink.
l ฺ G u
c
ra den t
o
a n i@ Stu
s o u this
l o u s e
e
ilฺ e to u
a d
a n i ( ens
s o u lic
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4. In the Details section, click the XXControl: Identical Payment Amounts link.
5. Click Add Comments.

6. Enter: I agree that this is a valid control.
b le
fer a
a ns
n-t r
n o
a
7. Click OK.
) h as
8. Click Actions > Review.
c o m ideฺ
9. Click Actions > Accept.
c l eฺ t Gu
o ra den
a n i@ Stu
s o u this
l o u s e
e
ilฺ e to u
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10. Click Done.

11. Click Cancel.
Note: Your RMCXX Control: Identical Payment Amounts is no longer on the Overview
page.

Requesting Additional Information for Your Risk
12. Navigate to: Financial Reporting Compliance > Risks > Overview tab.
13. Click the XXRisk: Duplicate Supplier Payments link.
14. In the Comments box, enter: Is Identical Payment Amounts the only control to address
the Duplicate Supplier Payments risk, or do you envision other controls as well?
15. Click Actions > Return for Information.
b le
fer a
a ns
n-t r
16. Click Done. n o
a
17. Click Cancel.
) has ฺ
Responding to the Request for More Information ฺ c om uide
r a cle nt G
18. Sign out and then sign in as your RMCXX.Owner
i @ o uuser.
t de
19. Navigate to: Financial Reporting a n
ComplianceS> Risks > Overview tab.
Note: The Task Description s o u
should be t h is
Information Requested.
l o u s e
d i lฺe to u
n i (a nse
o u a l ice
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20. Click the XXRisk: Duplicate Supplier Payments link.

21. Expand Review History.

22. In its Comments section, expand the In Review entry to view the comment you added as
the Reviewer user.
b le
fer a
a ns
n-t r
a no
23. In the Comments box, enter: In addition to Identical Payment ) as
hAmounts, a control
called Similar Supplier Names will be related to this m
orisk. Other e ฺ
dcontrols are expected
l e ฺ c u i
to be related to the risk as well, although those
r a c controlsn t G
have not yet been specified.
24. Click Actions > Reply.
n i @o Stude
Completing the Risk Reviewsou
a is
u e t h
e l o u s
25. Sign out and then sign
d i lฺ back in
t oas your RMCXX Reviewer user.
(a nReporting
26. Navigate to:i Financial
n se Compliance > Risks > Overview tab.
27. Clicku a XXRisk:
the
e
licDuplicate Supplier Payments link.
s o
uRead the comment returned by the Owner.
o
28.
l
il E Note: Your original comment appears as well.
Ad 29. Click Actions > Accept.

Practice 5-3: Creating a Control and a Test Plan Independently of a
Risk
Overview
 Creating a control.
 Creating a test plan for the control.
Assumptions
Tasks b le
fer a
1. Navigate to: Financial Reporting Compliance > Controls > Controls tab > Create.
a ns
2. Enter: n-t r
n o
Field Value a
) h as
Name XXControl: Similar Supplierm
o Names
d e ฺ
Description l c
eฺ in which i
u90 percent of
Identify supplier records
c t
rinathe supplier G
n name match.
o
the characters
d e
Method a n
Automated
i@ Stu
s o u this
In Scope
l o u Assessment
s e
e
ilฺ e to u
a d
Note: The
a n i ( fieldenoffers
Type
s values for selection only if you have used a Manage Lookups
c
li it. A later practice covers the procedure for populating the Type field.
ou to populate
u s
feature
Elo Accept default values for other fields.
il
Ad

3. In the Perspectives section, select XX-Vision Organization.
4. In the Available Perspective Items field, select XX-North America. Then click Move to
move that value to the Selected Perspective Items field.
5. Click the drop down next to Save and Close, and click Save.
Note: Do not click the Save and Close or the Submit button.
6. Click OK.
Note: The Test Plans section becomes active.
7. Expand Test Plans.
8. Click Create Test Plan.
9. Enter:
b le
fer a
Field Value a ns
n-t r
Name n
XXTest: Identify Similar Supplier Names o
a
Assessment Type Operational Assessment
) has ฺ
ฺ c om uide
10. In the Test Instructions section, click Create a
r cle nt G
Manual.
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11. In the Test Instruction Name field, enter XXTest: Identify Similar Supplier Names.
Note: The instruction name can be the same as that of the test plan name.
12. In the Test Steps section, click Create.

13. Enter: Review records identified by the Similar Supplier Names control. Count the
suppliers, each of whom has multiple records displaying similar, but distinct, names.
An invoice might be submitted for each of the multiple names, resulting in duplicate
payments.
14. Click Create.
15. Enter: Determine whether the percentage of your count to the total number of
suppliers is 10 percent or less. If so, the control is ineffective.
b le
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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s o ua this
l o u s e
e
ilฺ e to u
(
16. Click Save ianda d
Close s
twice.
a n c e n
u s o Submit. li
17. Clicku
E
18.
l o Click Done.
il 19. Sign out and sign back in as your RMCXX.Reviewer user.
Ad 20. Navigate to: Financial Reporting Compliance > Controls > Overview tab.
21. Click the XXControl: Similar Supplier Names link.
22. Click Actions > Accept.

Practice 5-4: Relating a Control to a Risk
Overview
In this practice, you will be relating the control to a risk.
Assumptions
Tasks
1. Navigate to: Financial Reporting Compliance > Risks > Risks tab.
2. Search for XXRisk: Duplicate Supplier Payments.
3. Click on the XXRisk: Duplicate Supplier Payments link. b le
fer a
4. Click the Related Controls tab.
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
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a n i ( ens
s ou lic
l o u
ilE
Ad Note: Your XXControl: Identical Payment Amounts appears in the Related Controls
section.
5. Click Edit Related Controls.
6. In the existing row for XXControl: Identical Payment Amounts, select Key in the
Stratification field.
7. With that row selected, click the Add Subordinate Control button.
8. Search for and select XXControl: Similar Supplier Names.
9. Click OK.
Note: The RMCXX Control: Similar Supplier Names control is indented beneath the
Identical Payment Amounts control.

10. In the Stratification field, select Redundant.
b le
fer a
a ns
11. Click Submit n-t r
12. Click Done. n o
s a
13. Sign out, and then sign back in as your RMCXX.Reviewer user.ha
) ฺ
14. Navigate to: Financial Reporting Compliance > Riskso >m
Overviewd etab.
l c
eฺ t Gu i
15. Click the XXRisk: Duplicate Supplier Payments c link.
ra den
16. Click Actions > Accept. o
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b le
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a ns
n-t r
a no
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c o i d
Managing
c l eฺ tAssessments
G u
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a n i@ Stu
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Overview
In these practices, you will learn to assess objects by:
 Creating an assessment template.
 Creating an assessment plan.

 Initiating a batch assessment.
 Initiating an impromptu assessment.
 Completing assessments.
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70 Practices for Lesson 6: Managing Assessments

Practice 6-1: Creating an Assessment Template
Overview
 Creating an assessment template.
 Adding an activity to be completed during assessment.
Assumptions
Tasks
b le
1. Navigate to: Financial Reporting Compliance > Assessments > Manage Assessments
fer a
tab > Tasks panel tab > Templates.
a ns
2. Click Create.
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
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ilฺ e to u
a d
a n i ( ens
s ou lic
l
3.o uEnter:
ilE
Ad
Field Value
Name XXControl Assessment Template
Module Financial Reporting Compliance
Primary Object Control
Assessment Type Financial Year End
Note: For the Module field, Financial Reporting Compliance is the default value. It is also
the correct value for any assessment template you create. Do not change it. You can use
the Manage Lookups feature to create new values for the Assessment Type field. You will
learn how in a later practice.
Practices for Lesson 6: Managing Assessments 71

4. In the Activities section, click Add Activities.
5. Select Operational Assessment
b le
fer a
a ns
n-t r
n o
a
) has ฺ
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ou
s OK. lic
6.
l o uClick
ilE 7. Click Submit.
Ad 8. Click Done.

Practice 6-2: Creating an Assessment Plan
Overview
In this practice, you will be developing an assessment plan from your template.
Assumptions
Tasks
tab > Tasks panel tab > Plans.
2. Click Create. b le
fer a
3. Enter:
a ns
n-t r
Field Value n o
a
Name XXControl Assessement Plan ) h
as
c o m ideฺ
Template
c l eฺ Template
XXControl Assessment
t G u
o ra den
a n i@ Stu
s o u this
l o u s e
e
ilฺ e to u
a d
a n i ( ens
s o u lic
Elou
il
Ad

4. In the Selection Criteria section, in the Name row, select the Starts With operator and
enter XXC as the attribute value.
5. Click Preview Selections. b le

fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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6. Click OK.
7. In the Perspective Selection Criteria section, click Add.
8. Select XX-Vision Organization.
9. Select XX-North America.
10. Click OK.
Note: If you were to make no perspective selection, your search would return controls
assigned any (or no) perspective values, limited only by your selections in the Selection
Criteria and Additional Criteria regions. Because you’ve already selected your two controls
by name, this perspective selection is actually redundant in this case.

11. In the Additional Criteria section, clear all the check boxes.
Note: All Additional Criteria check boxes are selected by default. The standard practice is
to clear only the ones you want to exclude as objects they represent.
12. Click Preview Selections again and observe that the search now returns no controls.
13. Click OK.
Note: One of your controls has the Key stratification value, the other has the Redundant
stratification value, and both have the Assessment in-scope value. So having cleared the
Additional Criteria check boxes for these values excludes your controls.
14. Select the Assessment, Key, and Redundant check boxes.
15. Click Preview Selections again, and observe that the search once again returns your two
controls.
16. Click OK. b le
17. Click Submit. fer a
a ns
18. Click Done.
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n o
a
) has ฺ
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Practice 6-3: Initiating a Batch Assessment
Overview
In this practice, you will be initiating an assessment from your assessment plan.
Assumptions
Tasks
1. Navigate to: Financial Reporting Compliance > Assessments >Manage Assessments
tab > Tasks panel tab > Initiate Assessment.
2. Enter: b le
fer a
a ns
n-t r
Name XXControl Operational Assessment a no
Description ) has ฺ
Confirm that controls operate effectively
to resolve risks. ฺ c om uide
Plan r a
XXControl Assessment
cle Plan n t G
Start Date Today n i @o Stude
s o ua this
Due Date
l o u Twosweeks
e from today
e
ilฺ e to u
a d
n i (a dateesufficiently
Note: Select
a ns far in the future to permit full review of all the objects to be
u l i c
o in the assessment.
included
u s
Elo
il
Ad
3. Click Next.

4. Review the selection criteria inherited from the assessment plan. Confirm that values in the
Selection Criteria, Perspective Selection Criteria, and Additional Criteria regions are
what you expect them to be, but make no changes.
b le
fer a
a ns
n-t r
a no
) h as
5. Click Next.
c o m ideฺ
6. Click Generate.
c l eฺ t Gu
Note: Records of your two controls should o raappear
then
d e nthe Objects region of the page.
in
a n i@ Stu
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7. Ensure that the Include check box is selected for both of your controls.
8. Click Next.

9. Ensure that each of the objects you’ve included in the assessment has an assessor.
10. Click Submit.

11. Click OK.
12. Sign out as your RMCXX.Owner user, and sign back in as your RMCXX.Admin user.
b le
13. Navigate to: Risk Management Tools > Setup and Administration > Monitor Jobs.
fer a
14. Locate the row for the job with your RMCXX.OWNER in the Run By column, and confirm
a ns
that the message in the Message cell reads Job completed. n-t r
n o
a
) has ฺ
ฺ c om uide
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Practice 6-4: Initiating an Impromptu Assessment
Overview
In this practice you will be initiating an impromptu assessment.
Assumptions
Tasks
1. Navigate to: Financial Reporting Compliance > Controls > Controls tab.
2. In the Name search field, enter XXControl and press the Enter key.
3. Click on the XXControl: Discontinued Suppliers Review link. b le
fer a
4. Click the Assessment tab.
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
5. Click Create Impromptu Assessment.
s o ua this
l o u s e
6. Enter: e
ilฺ e to u
a d
a n i ( ens
s o u lic
l o uActivity Operational Assessment
il E
Ad Name XXControl: Discontinued Supplier
Review Assessment
Start Date Today (defaults)
Due Date One week from today
Description Determine whether the XXControl:
Discontinued Supplier Review effectively
addresses its related risk, XXRisk:
Orders to Discontinued Suppliers.

b le
fer a
a ns
n-t r
n o
a
7. Click Submit.
) has ฺ
8. Click Done.
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r a cle nt G
n i @o Stude
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Practice 6-5: Completing Assessments
Overview
In this practice, you will be completing the assessments you initiated in the previous practices.
Assumptions
Sign in as your RMCXX.Assessor user, as assigned by the instructor.
Tasks
1. Navigate to: Financial Reporting Compliance > Controls > Overview tab.
2. Click the XXControl: Discontinued Supplier Review Assessment->Operational
Assessment->XXDiscontinued Supplier Review link. b le
fer a
3. Review details.
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n-t r
n o
a
) has ฺ
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4. Click Next.
Note: The Review Prior Results page contains a record reflecting the initiation of the
assessment.
5. Click on the Operational Assessment row.
6. Click Next.

7. In the Response field, select Pass.
b le
fer a
a ns
n-t r
a no
8. Click Submit.
) h as
9. Sign out, then sign back in as your RMCXX.Owner user. m
o d e ฺ
l
10. Navigate to: Financial Reporting Compliance > Assessments
c i
eฺ t Gu> Manage Assessments
tab.
c
ra den
o
Note: In the Manage Assessmentsn
a i@ a row
page, S u
trepresents the impromptu assessment
s o
you initiated. Because the Assessor u user
t h i
hass completed this assessment, its graph shows
100 percent completion.lo u e
s exists for the batch assessment you initiated. It’s
Another row
graph is at zero d i l ฺ e o u
t you have not yet assessed either control included in the
percent because
( a s e
u a ni licen
assessment.
u s o
lo
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Ad
11. Navigate to: Tasks panel tab > Complete Assessment.

12. Select the row for XXControl: Similar Supplier Names.
Note: If you click on the Object Name link. It would take you to the management page for
the control it represents, not to the assessment completion pages.
13. Click Complete Assessment.
14. Click Next twice.

15. Click in the row for the first step of the test plan.
b le
fer a
a ns
n-t r
a no
16. Click Edit.
) has ฺ
17. In the Response field, select Pass.
ฺ c om uide
18. Click OK.
r a cle nt G
19. Repeat for the second test step.
@ o ude
20. Click Next. a n i S t
ou hi s
21. In the Response field, selectu sPass. e t
22. Click Submit. i l ฺ elo to us
23. Click Done.i (
ad nse
u n lice
athe
o
24. Refresh
u s search by clicking on the Overview tab and then back on the Manage
E l o Assessments tab.
il
Ad Note: The row for the XXControl Operational Assessment now indicates it is 50 percent
complete.
26. In the Search section, type XXC in the Name field.
27. Click Search.
28. Click on the XXControl: Identical Payment Amounts link.

29. Click the Assessment tab.
30. Select the Operational Assessment row.
31. Click Complete Assessment.
Note: The assessment for this control does not include a page to complete a test plan. That
is because you did not create a test plan for the control.
32. Click Next twice.

33. In the Response field, select Failed.
34. In the Result Summary field enter: This control has no test plan. Therefore it cannot be
known whether the control operates effectively to resolve the risk.
b le
fer a
a ns
n-t r
a no
) has ฺ
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35. Clicku a ni ( licens
Submit.
s o Done.
36. uClick
lo
il E37. Navigate to: Financial Reporting Compliance > Assessments > Manage Assessments
Ad tab.
Note: The RMCXX Control Operational Assessment now indicates it is 100 percent
complete.

b le
fer a
a ns
n-t r
a no
h as
) e ฺ 7:
c o i d
Managing
c l eฺ tIssues
G u
o ra den
a n i@ Stu
s o u this
l o u s e
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Overview
 Creating an issue within Object Management.
 Creating an issue within Issue Management.

 Closing an issue.
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fer a
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) has ฺ
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86 Practices for Lesson 7: Managing Issues

Practice 7-1: Creating an Issue Within Object Management
Overview
In this practice, you will be working in the manage page for a control to create an issue.
Assumptions
Tasks
2. In the Search section, enter XXC in the Name search field
3. Click Search. b le
fer a
4. Click the XXControl: Identical Payment Amounts link.
a ns
5. Click the Issues tab. n-t r
6. Click Create Issue. n o
a
7. Enter:
) has ฺ
ฺ c om uide
Field Value r a cle nt G
o ude
@Lacks
Name i
XXControl
a n S ta Test Plan
Description s u control
oThe s
thiXXControl: Identical Payment
u e
i l ฺ elo toAmounts
us does not have a test plan and so
i ( ad nse cannot be assessed properly.
o u an lice
Severity Deficiency
o u s
l
il E
Ad
Practices for Lesson 7: Managing Issues 87

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) has ฺ
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8. Click Cancel.
Note: Ordinarily, you would click Submit. You were instructed to cancel because in the
next practice, you will use Issue Management to create an expanded version of this issue,
one that encompasses both the control and its related risk.
9. Click Done.

Practice 7-2: Creating an Issue Within Issue Management
Overview
 Creating an issue using the Issue Management.
 Relating a Risk to the issue.

 Relating a Control to the issue.
Assumptions
Tasks b le
fer a
10. Navigate to: Financial Reporting Compliance > Issues > Issues tab.
a ns
11. Click Create. n-t r
12. Enter: a no
) has ฺ
Field Value ฺ c om uide
a c le t G
Name o r
XXControl Lacks a Test
d e n
Plan
Description a
The n i@ XXControl:
control S tu Identical Payment
s u thdoes
oAmounts s
i not have a test plan and so
u e
i l ฺ elo tocannot
us be assessed properly. The control is
i ( ad nse related to the risk XXRisk: Duplicate Supplier
u a n lice Payments. Because the control cannot be
u s o assessed, the risk is not properly controlled.

Elo Severity Deficiency
il
Ad Status Open (defaults)

Relating a Risk to the Issue
13. Expand Related Records.
14. Click Add Related Object.
15. Ensure Risk is the Object Name.
16. Enter XXR the Name field.
17. Click Search.

18. Select the row.
19. Click OK.
Relating a Control to the Issue

20. Click Add Related Object.
b le
21. Select Control as the Object Name.
fer a
22. Enter XXC the Name field. a ns
n-t r
23. Click Search.
a no
has ฺ
24. Select the XXControl: Identical Payment Amounts row.
25. Click OK. )
ฺ c
26. Confirm that a row for each object appears in the Related
om u ideregion of the Create
Records
l e
c nt G
Issue page. r a
n i @o Stude
s o ua this
l o u s e
e
ilฺ e to u
a d
a n i ( ens
s o u lic
l o u
il E
Ad
Note: Ignore the Remediation Plans section. It pertains to a feature that is not supported
in the current release of Financial Reporting Compliance.
27. Click Submit.

Practice 7-3: Closing an Issue
Overview
In this practice, you will be closing the issue you have created.
Assumptions
Tasks
1. Navigate to: Financial Reporting Compliance > Issues. Click the Issues tab.
2. Click on the row of your issue.
3. Click Close. b le
fer a
4. In the Specify Reason for Action field, select Resolved.
a ns
5. As a Comment, enter: Test plan was created and reviewed. n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
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fer a
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n-t r
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a
) has ฺ
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b le
fer a
a ns
n-t r
a no
h as
) e ฺ 8:
c o i d
Managing
c l eฺ tReports
G u
o ra den
a n i@ Stu
s o u this
l o u s e
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ilฺ e to u
a d
a n i ( ens
s ou lic
l o u
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Overview
 Generating an on-demand report.
 Scheduling Reports to be run.
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fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
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94 Practices for Lesson 8: Managing Reports

Practice 8-1: Generating an On-Demand Report
Overview
 Navigating to the Control Details report.
 Saving the report parameters for reuse in subsequent runs of the report.
 Running the report.
 Viewing the report.
Assumptions
b le
fer a
Tasks
a ns
n
1. Navigate to: Financial Reporting Compliance > Financial Compliance Reports
r
-t > Tasks
panel tab > Control Reports. n o
a
2. Select the row for the GRCM Control Details Report.
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
e
ilฺ e to u
a d
a n i ( ens
s o u lic
l o u
il E3. Click Actions > Run Now.
Ad 4. Select:
Parameter Value
Module Financial Reporting Compliance
Object Name Search and select XXControl: Identical
Payment Amounts and XXControl:
Similar Supplier Names by using the
Shift or Control key.
Select the Report Format PDF (defaults)
Type
Practices for Lesson 8: Managing Reports 95

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fer a
a ns
n-t r
n o
a
) has ฺ
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5. Click Save Report Parameters.
6. Enter: XXControls
7. Click OK.
8. Click Submit.

9. Click on the Report Name in the second section.
10. Select Actions > View Report.

b le
11. Select Open with.
fer a
12. Click OK.
a ns
13. Review the report. n-t r
n o
a
) has ฺ
ฺ c om uide
r a cle nt G
n i @o Stude
s o ua this
l o u s e
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14. Close the report.

Practice 8-2: Scheduling a Report
Overview
 Using the saved parameters.
 Scheduling the Control Details report to run.

 Viewing the results.
Assumptions
Tasks b le
fer a
1. Navigate to: Financial Reporting Compliance > Financial Compliance Reports > Tasks
a ns
panel tab > Control Reports.
n-t r
2. Select the row for the GRCM Control Details Report. n o
a
3. Select Actions > Schedule.
) has ฺ
m ide
4. In the Select Saved Report Parameters field, select theoXXControls.
c
l ฺ
e t Gu
c
ra den
o
a n i@ Stu
s o u this
l o u s e
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ilฺ e to u
a d
a n i ( ens
s o u lic
l o u
il E
Ad
5. Select Schedule Information.

6. Enter or select:
Parameter Value
Schedule Name XXControl Reports Schedule
Schedule Date and Five minutes from now

Time
Repeat Information Run Once
b le
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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7. Click Schedule.
8. Click OK.
9. Select Display > Schedule Reports.
Note: A record of your schedule appears.

10. After five minutes pass, select Display > Report History.
Note: A new row appears.
11. Select the row.
12. Click Actions > View Report.
13. Select Open with.

14. Click OK.
15. Review the report.
16. Close the report.
b le
fer a
a ns
n-t r
n o
a
) has ฺ
ฺ c om uide
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b le
fer a
a ns
n-t r
a no
h as
) e ฺ 9:
c o i d
c l eฺ t Administration
Additional G u
o ra den
a n i@ Stu
s o u this
l o u s e
e
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a d
a n i ( ens
s ou lic
l o u
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Overview
 Viewing the setting of application configurations demonstration.
 Managing lookups.
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fer a
a ns
n-t r
n o
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) has ฺ
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102 Practices for Lesson 9: Additional Administration

Demonstration 9-1: Setting Application Configurations
Overview
In this demonstration, your instructor will be:
 Enabling and setting up an e-mail schedule.
 Scheduling Security Optimization.

 Selecting a default currency.
Assumptions
Sign in as your RMCXX.Admin user.
Tasks
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Enabling and Setting Up an E-mail Schedule
a ns
n-t r
n o
Application Configurations > General Maintenance tab. a
2. In an E-Mail Alerts section, select Enable. ) has ฺ
3. Click Test Connection. ฺ c om uide
4. Click OK. r a cle nt G
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Practices for Lesson 9: Additional Administration 103

Creating a Schedule on Which E-mail Messages Are Sent
5. Enter:
Field Value
Start Date Tomorrow

Hourly Interval 168
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Ad Note: You can enter any number of hours. This defines the period from one e-mail delivery
to the next. Observe that you can send e-mail alerts at any time by selecting the Run Now
button. An on-demand delivery does not affect the schedule. The job runs again when the
schedule next determines that it should.

Verifying the Configuration of Content Management
6. In the WebCenter Content section, ensure that the Attachments Folder field displays the
value /Contribution Folders/FGRC Attachments.
Note: In a future release this section has been removed. It is to be made in the background
and can no longer be changed.
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Selecting a Default Currency
7. In the Currency Configuration section, select USD in the Currency field:
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Note:uThe
s o lic Configuration and Purge Results sections are intended to
lousupport features that are not yet implemented.

E8.
il Click Save and Close.
Ad 9. Click OK.

Practice 9-2: Managing Lookups
Overview
In this practice, you will be adding a Financial Quarter End value to the Assessment Type field
that users can select in the Create Assessment Template list-of-values field.
Assumptions
Tasks
Reviewing the Assessment Lookup Field Values

b l e
1. Navigate to: Financial Reporting Compliance > Assessments > Manage Assessmentser
f a
tab > Tasks panel tab > Assessment Activities > Templates. ns
2. Click Create. n - tra
3. Select Assessment Type. a no
Note: Review the values already created. ) has ฺ
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4. Click Cancel.
Determining the Lookup Type

5. Sign out, and sign in again as your RMCxx.Admin user.
6. Navigate to: Risk Management Tools > Setup and Administration >Tasks panel tab >
Related Links > Lookup Tables.
7. In the Meaning field of the Search section, enter Financial Year End.
8. Click Search.
Note: The Lookup Type for this field is GRC_ASSESSMENT_TYPE.
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Creating a New Lookup e
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9. Click Create
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10. Enter:
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Ad Field Value
Lookup Type GRC_ASSESSMENT_TYPE
Lookup Code XXFINANCIAL_QTR_END
Meaning XXFinancial Quarter End
Description Financial Quarter End
Note: A lookup code should be all capitals, with underscores where spaces would be, but
apart from that may be any code that does not duplicate an existing one.

Viewing Your New Lookup Value

12. Sign out, then sign in again as your RMCXX.Owner user b le
fer a
a ns
tab > Tasks panel tab > Assessment Activities > Templates.
n-t r
14. Click Create. n o
a
15. Select Assessment Type.
) has ฺ
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16. Confirm that the new XXFinancial Quarter End value isoavailable.
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Note: In some cases, LOV fields are not seeded with default values. In those cases, the
method to determine the lookup type, outlined in steps 1–8, does not work. Some of those
fields, and their lookup types, include the following:
Page Lookup Type

Create or Edit Risk GRCM_RISK_TYPE
Create or Edit Control GRCM_CONTROL_TYPE
Create or Edit Issue GRCM_ISSUE_TYPE
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Practice 9-2: Managing Lookups .............................................................................................................. 107

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6 Practices for Lesson 1: Introduction to Oracle Financial Reporting Compliance

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8 Practices for Lesson 2: Introducing Oracle Cloud Navigation

 Signing in to Oracle Cloud Applications.

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5. Sign in as your RMCXX.Admin user as assigned by the instructor.

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14. Click in the Search field again.

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16 Practices for Lesson 2: Introducing Oracle Cloud Navigation

 Creating a saved search.

Setting User Preferences b le

2. Navigate to: General Preferences > Regional.

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Creating a Saved Search

9. In the Status search field, select Completed.

Field or Checkbox Value e

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20 Practices for Lesson 2: Introducing Oracle Cloud Navigation

 Adding risk, control, and perspective data to a template

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22 Practices for Lesson 3: Migrating Risk and Control Data

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24 Practices for Lesson 3: Migrating Risk and Control Data

2. On the Home ribbon, click Find & Select.

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