PeopleSoft Enterprise Internal Controls Enforcer 9.1 PeopleBook

Establishing Preferences

This chapter provides an overview of preference settings and discusses how to

Set up preferences.
Configure the Other Attribute fields.

Understanding Preference Settings

This section discusses:

General preferences.
User preferences.

General Preferences

General preferences are system-wide preferences that you establish when you implement the application. These preferences control several options that impact how the system operates, including:

The level at which sign-offs take place and the manner in which they are processed.
The currency that is used for entering monetary amounts on the Element Amounts page.
The content management ID that is used for storing documents related to subprocesses.
Several settings that are used when processing diagnostics.
Whether to enforce security for compliance projects and process instances.
Whether the Other Attribute fields, which are user-defined fields, are free-form text entry fields or fields that use list boxes.

Typically you do not change these settings once they are established.

The top category content management ID is delivered with the system. The following table lists the role members and privileges that are delivered with this category:

Role Name	Privileges
PAPP_SYSTEM_ADMIN	ADMINISTRATOR, AUTHOR, EXPERT
PAPQ_ACTION_PLAN_USER	VIEWER
PAPQ_BUS_PROC_USER	ADMINISTRATOR, AUTHOR
PAPQ_BUS_PROC_USER	AUTHOR
PAPQ_COMPLIANCE_MANAGER	ADMINISTRATOR, AUTHOR, EXPERT
PAPQ_ENTITY_USER	ADMINISTRATOR, AUTHOR
PAPQ_REVIEWER_USER	VIEWER
PAPQ_SUBPROCESS_USER	ADMINISTRATOR, AUTHOR
PAPQ_SYSTEM_ADMIN	ADMINISTRATOR, AUTHOR, EXPERT
PAPQ_TEST_PLAN_USER	VIEWER

User Preferences

User preferences are individually set by each user, based on the user ID that is entered at login. These settings establish which data a user automatically views when accessing various pages in the system and define preferences for PeopleSoft Internal Controls Enforcer pagelets.

The pagelet user preferences settings control the appearance of the PeopleSoft Internal Controls Enforcer pagelets, which enable individuals to monitor their own internal controls. Each user specifies which data to view and the order in which it appears. This limits the amount of data that the pagelets display, which makes the pagelets more visually appealing and easier to analyze. More importantly, these preferences enable each user to view the information that they consider to be most crucial.

Specifically, the pagelets display:

The percentage of ineffective controls.
The percentage of business processes that are not signed off.
The percentage of unmitigated risk.

Pagelets are grouped into these categories:

Those that show information by entity.
Those that show information by business process.
Those that show status information for a single business process.

Preferences are set independently for each category.

Setting Up Preferences

This section discusses how to:

Establish general preferences.
Establish default values.
Establish pagelet user preferences for entities.
Establish pagelet user preferences for business processes.
Establish pagelet user preferences for status of a single business process.

Pages Used to Set Up Preferences

Page Name	Definition Name	Navigation	Usage
Internal Controls Enforcer General Preferences	EPQ_GEN_PREFS	Internal Controls Enforcer, General Preferences	Set system-wide preferences.
Default Settings	EPQ_DFLT_SETTING	Internal Controls Enforcer, User Preferences, Default Settings	Specify the compliance project, process instance, trees, and setID that the system automatically uses on most pages. These are stored independently by each user.
Pagelet User Preference - Entity	EPQ_PGLT_PREF_ENT	Internal Controls Enforcer, User Preferences, Pagelet User Preference, Entity	Establish the entities that appear in pagelets for the current user.
Pagelet User Preference - Business Process	EPQ_PGLT_PREF_BP	Internal Controls Enforcer, User Preferences, Pagelet User Preference, Business Process	Establish the business processes that appear in pagelets for the current user.
Pagelet User Preference - Business Process Status	EPQ_PGLT_PREF_SNGL	Internal Controls Enforcer, User Preferences, Pagelet User Preference, Business Process Status	Specify the entity and business process to view in the Business Process Status pagelet, which shows the percentage of subprocesses within a business process that are not signed off, the percentage of ineffective controls, and the percentage of unmitigated risk for a single business process.
View My Access - Project	EPQ_VW_ACCESS_PROJ	Internal Controls Enforcer, User Preferences, View My Access, View My Access - Project	View the compliance projects that you have security to access.
View My Access - Instance	EPQ_VW_ACCESS_INST	Internal Controls Enforcer, User Preferences, View My Access, View My Access - Instance	View the process instances that you have security to access.

Establishing General Preferences

Access the Internal Controls Enforcer General Preferences page (Internal Controls Enforcer, General Preferences).

Currency Code

Currency Code

Select the currency code that represents the reporting base currency for your organization. All monetary amounts that you enter or view for the financial elements within your organization are considered to represent amounts in the currency that you specify for this field. The system does not perform any currency conversions.

Folder ID

Folder ID

Select 980, which is the delivered content management top folder ID that is used for PeopleSoft Internal Controls Enforcer. The system uses this folder ID for storing subprocess documents. Any file attachments that you associate with a subprocess are associated with this folder ID.

Sign-Off Options

Sign-Off Level

Specify the level at which sign offs are required. Options are:

Subprocess: Select to require sign offs only by subprocess owners.

Subprocess and Bus. Process: Select to require sign offs by both subprocess owners and business process owners.

Sign-Off Auto-Lock

Select to prevent modifications to generated sign-off sheets after they are signed off. When you select this option, users can't regenerate, refresh, or cancel sign-off sheets after sign-offs are complete.

Diagnostic Setup Options

These options are required only if you are implementing the delivered diagnostics that monitor control points in Oracle's PeopleSoft Enterprise Financial Management 8.8 or 8.4 databases.

UserID and Password	Enter a user ID and associated password that has single signon access to the PeopleSoft Enterprise Financial Management 8.8 or 8.4 database. When processing diagnostics, the system uses these field values to access the database if your authentication has expired.
Other option for N/A	Enter the value that the diagnostic report should contain if a field is no longer available but was present in a prior run. If you do not specify a value, then the system uses N/A for this situation by default.

Security Options

Compliance Project Security	Select to enforce security for compliance projects.
Process Instance Security	Select to enforce security for process instances.

Instance Generation Options

Delete Content

This check box controls how the system manages documents that are stored with existing process instances when you run the Process Instance Generator Application Engine process (EPQ_INST_GEN).

Select this option to delete all existing instance-level documents when you run the Process Instance Generator process. Consequently, process instances will contain only the documents that are currently defined at the risk control repository level.

Clear this option to retain all existing instance-level documents when you run the Process Instance Generator process. Any new documents that have been added to the risk control repository will be copied to the process instance definitions, and existing process instance documents will be retained.

Other Attributes

Select one of the following radio buttons to control the format of the Other Attribute fields.

Other attributes as free-text

Configures the Other Attribute fields as fields that are populated by entering free-form text. This is the default setting.

Other attributes as listboxes

Configures the Other Attribute fields as fields that are populated by selecting from a list of valid values. If you select this option, use the Other Attributes Setup component to establish the values for the Other Attribute fields.

See Configuring the Other Attribute Fields.

Establishing Default Values

Access the Default Settings page (Internal Controls Enforcer, User Preferences, Default Settings).

For any of these fields, select the values that you want the system to automatically use when you access a page.

SetID is used for setup-related pages, the remaining fields are used for the pages that you use to view instances.

View My Access

Click to review the compliance projects and instances to which you have been granted access.

Establishing Pagelet User Preferences for Entities

Access the Pagelet User Preference - Entity page (Internal Controls Enforcer, User Preferences, Pagelet User Preference, Entity).

Compliance Project

Select the compliance project for which to view entities.

Entity ID and Description

Displays the list of entities that you can include in the pagelets that display information by entity. Only entities with subprocess instances that are currently active and are included in sign offs appear. If a new entity is added that meets those requirements, the system automatically includes it in the list of selectable entities, but you must select the Pagelet Display check box for it to appear on the pagelets.

Order

Enter an integer to indicate a specific order by which to display the entity on pagelets. This field is optional. The system first displays objects without a specified order (in alphabetical order based on their description), then displays the remaining objects in ascending order based on their value in the Order field. If two objects have the same order value, then the system displays them in alphabetical order, based on their description.

Pagelet Display

Select to include the entity on the pagelets.

Note. If you select more entities than a pagelet is able to display due to size limitations, the system may hide some of the labels on the chart. However, you can still click a bar to view the details for that entity.

Establishing Pagelet User Preferences for Business Processes

Access the Pagelet User Preference - Business Process page (Internal Controls Enforcer, User Preferences, Pagelet User Preference, Business Process).

Compliance Project

Select the compliance project for which to view business processes.

Entity ID

Select the entity for which you want to view information in the pagelets that show information by business processes. You can only select entities that have subprocess instances that are currently active and are included in sign offs. The entity you select determines which business processes appear in the Pagelet Preference grid.

Business Process and Description

Displays the list of business processes that you can include in the pagelets that display information by business process.

Order

Enter an integer to indicate a specific order by which to display the business processes on pagelets. This field is optional. The system first displays objects without a specified order (in alphabetical order based on their description), then displays the remaining objects in ascending order based on their value in the Order field. If two objects have the same order value, then the system displays them in alphabetical order, based on their description.

Pagelet Display

Select to include the business process on the pagelets.

Note. If you select more business processes than the pagelet is able to display due to size limitations, the system may hide some of the labels on the chart. However, you can still click a bar to view the details for a business process.

If you select a different entity, the grid is refreshed with that entity's business processes, and by default, all of them have the Pagelet Display check box selected. Clear the Pagelet Display check box for any business processes that you do not want to appear in the pagelets, and use the Order field to reorder them, if necessary.

Establishing Pagelet User Preferences for Status of a Single Business Process

Access the Pagelet User Preference - Business Process Status page (Internal Controls Enforcer, User Preferences, Pagelet User Preference, Business Process Status).

Compliance Project

Select the compliance project for which to view status of a single business process.

Entity

Select the entity for which to view status of a single business process. You can only select entities that have subprocess instances that are currently active and are included in sign offs.

Business Process

Select the business process to view in the Business Process Status pagelet. The metrics that appear in the pagelet summarize the data for all the subprocesses within the selected business process.

Configuring the Other Attribute Fields

This section provides an overview of the Other Attributes field structure and discusses how to set up the Other Attributes fields.

Understanding the Other Attributes Fields

The system includes several fields, which we refer to as “other attributes” fields, that are provided for storing additional attributes that are applicable to your implementation. No processing logic is associated with these fields; as delivered they are informational only. These fields appear within the Other Attributes group box on the definition pages for master and instance level processes, risks, controls, and test plan templates, as well as on the action plan and test plan pages. These fields can be configured as list boxes or free-form text, depending on the option you select on the Internal Controls Enforcer General Preferences page. Because these fields are keyed by setID, you can either have a common set of other attribute fields for your organization, or define them differently for each compliance project, depending on how you define your setIDs and record groups.

When you configure these fields as list boxes, you use the Other Attributes page, as described in the following section, to establish the valid values that are available for these fields. The valid values are established by the attribute group category with which they are associated, namely business process, risk, control, test, or action. For each attribute group, a total of six fields are available; Attribute 1 through Attribute 6, respectively. The following table lists the objects for which these fields are available by the attribute group they are associated with, and the pages on which they appear.

Attribute Group	Associated Objects	Page
Business Process	Process Process Instance	Business Process Manager - Process Definition page Process Instance Definition - Process Definition page
Risk	Risk Risk Instance	Risk Definition page Risk Instance Definition page
Control	Control Control Instance	Control Definition page Control Instance Definition page
Test Plan	Test Plan Template Test Template Instance Test Plan	Test Plan Template page Test Template Instance Definition page Test Plan page
Action Plan	Action Plan	Action Plan page

The labels that are used for these fields are derived from message catalog definitions. You can change the field labels by modifying the text for the associated messages. The message catalog items are within message set number 18145. The following table list the range of message numbers used for each attribute group category. Information on modifying message catalog definitions is available in your PeopleTools documentation.

Attribute Group	Message Number Range
Business Process	1301 – 1306
Risk	1307 – 1312
Control	1313 – 1318
Test Plan	1319 – 1324
Action Plan	1325 – 1330

See Enterprise PeopleTools 8.50 PeopleBook: PeopleSoft Application Designer Developers Guide

Page Used to Configure the Other Attribute Fields

Page Name	Definition Name	Navigation	Usage
Other Attributes Setup	EPQ_ATTR_SETUP	Internal Controls Enforcer, Master Setup, General Setup, Other Attributes	Define the list box values for the Other Attributes fields.

Setting up Other Attributes Fields

Access the Other Attribute Setup page, specifying the setID and Attribute Group (Internal Controls Enforcer, Master Setup, General Setup, Other Attributes).

Attribute 1, Attribute 2, Attribute 3, Attribute 4, Attribute 5, Attribute 6

Click a tab to define the valid values for each Other Attribute field.

Attribute Name

Insert rows and enter a field value to define the list of valid values for this field.

Active Flag

Select this check box to activate this field value. Clear this check box to inactivate this field value and prevent it from appearing in the list of valid values.

Note. A warning message appears if you inactivate a row by clearing the active flag, or if you delete a row, whether or not the values are currently being used.

Compliance Project	Select the compliance project for which to view entities.
Entity ID and Description	Displays the list of entities that you can include in the pagelets that display information by entity. Only entities with subprocess instances that are currently active and are included in sign offs appear. If a new entity is added that meets those requirements, the system automatically includes it in the list of selectable entities, but you must select the Pagelet Display check box for it to appear on the pagelets.
Order	Enter an integer to indicate a specific order by which to display the entity on pagelets. This field is optional. The system first displays objects without a specified order (in alphabetical order based on their description), then displays the remaining objects in ascending order based on their value in the Order field. If two objects have the same order value, then the system displays them in alphabetical order, based on their description.
Pagelet Display	Select to include the entity on the pagelets.

Compliance Project	Select the compliance project for which to view business processes.
Entity ID	Select the entity for which you want to view information in the pagelets that show information by business processes. You can only select entities that have subprocess instances that are currently active and are included in sign offs. The entity you select determines which business processes appear in the Pagelet Preference grid.
Business Process and Description	Displays the list of business processes that you can include in the pagelets that display information by business process.
Order	Enter an integer to indicate a specific order by which to display the business processes on pagelets. This field is optional. The system first displays objects without a specified order (in alphabetical order based on their description), then displays the remaining objects in ascending order based on their value in the Order field. If two objects have the same order value, then the system displays them in alphabetical order, based on their description.
Pagelet Display	Select to include the business process on the pagelets.

Compliance Project	Select the compliance project for which to view status of a single business process.
Entity	Select the entity for which to view status of a single business process. You can only select entities that have subprocess instances that are currently active and are included in sign offs.
Business Process	Select the business process to view in the Business Process Status pagelet. The metrics that appear in the pagelet summarize the data for all the subprocesses within the selected business process.

Attribute 1, Attribute 2, Attribute 3, Attribute 4, Attribute 5, Attribute 6	Click a tab to define the valid values for each Other Attribute field.
Attribute Name	Insert rows and enter a field value to define the list of valid values for this field.
Active Flag	Select this check box to activate this field value. Clear this check box to inactivate this field value and prevent it from appearing in the list of valid values.