Establishing Compliance Projects

This chapter provides an overview of compliance projects and tableset sharing and discusses how to:

• Implement tableset sharing.

• Establish compliance projects.

See Also

Enterprise PeopleTools 8.50 PeopleBook: PeopleSoft Application Designer Developers Guide“Planning Records, Control Tables, and TableSets”

Understanding Compliance Projects and Tableset Sharing

This section discusses:

• Compliance projects.

• Data relationships.

• Record groups.

• Tableset sharing.

Compliance Projects

A compliance project is the highest level of organization with the PeopleSoft Internal Controls Enforcer application. When you use the system, there are several tasks that require you to specify the compliance project for which to perform the task, including:

• Defining business processes and subprocesses.

• Creating and maintaining process instances.

• Processing diagnostics.

• Monitoring and testing controls.

• Performing controls testing

• Generating sign-off sheets.

• Monitoring sign-off status.

Every compliance project has its own set of business processes and subprocesses. However, the data for entities, elements, trees, and the risk control repository can be shared. During implementation, you control whether to share data among compliance projects by using tableset sharing.

Data Relationships

When you define a compliance project, you associate it with a default setID. This controls which sets of database records the compliance project uses. The following diagram shows the relationship between a compliance project's business processes and subprocesses and the sets of data that it can access when the system generates process instances.

Set relationships

Each of the sets, including any tree views, is delivered in a record group. The compliance project is automatically linked to a record group for each set using the setID you associate with the compliance project when you create it.

For example, consider three compliance projects with the following project IDs: PROJ1, PROJ2, and PROJ3. PROJ1 is mapped to each of the record groups by the SHARE setID. Likewise, PROJ2 is mapped to each of the record groups by the SHARE setID. In contrast, PROJ3 is mapped to each of the record groups by the setID US003. As a result PROJ1 and PROJ2 share the same sets of data for elements, entities, risks, controls, tests, and diagnostics. PROJ3 uses a different set of data, and does not share any data with PROJ1 or PROJ2.

Record Groups

A record group is a set of functionally or logically related records or views. A record group can contain a single record or view, or it can contain many records and views. Record groups are delivered as part of the PeopleSoft system and should not be altered. Record groups ensure that tableset sharing is applied consistently across all related tables and views in the system.

PeopleSoft Internal Controls Enforcer uses the following records groups:

Tablesets, SetIDs, and Set Control Values

A tableset is a group of control table rows identified by the same setID. SetIDs are the labels that the system uses to identify tablesets. You can have as many setIDs as you like, but the more you have, the more complex tableset sharing becomes. You always have the same number of setIDs as tablesets. SetIDs are established using PeopleTools. You must establish them prior to defining a compliance project.

Set control values specify the setID that each record group uses. In the PeopleSoft Internal Controls Enforcer application, a compliance project ID is the set control value. The setID field is used as a high-level key for database records that can be shared, such as elements or entities in the case of PeopleSoft Internal Controls Enforcer. These setIDs identify groups of tables to share and enable you to identify whether a compliance project uses shared data for any record groups.

Tableset Sharing

With tableset sharing, you can specify the control table data that the system uses for each compliance project. If much of the control table data is the same for each project, tableset sharing enables you to share that information, instead of having to enter the same data multiple times.

To understand how this works in the PeopleSoft system, consider what happens when a user makes a selection from the available options. The list that appears contains all of the valid entries that can be entered in the field based on the relevant compliance project.

This series of questions outlines the online process that occurs:

1. What compliance project are we working in?

2. What table controls data for this field?

3. What record group is that table in?

4. What tableset ID is assigned to that record group for this compliance project?

5. What rows in that control table are keyed by tableset ID (setID).

Note. Record groups and setIDs for a set control value have a one-to-one relationship.

Implementing Tableset Sharing

This section provides an overview of tableset sharing implementation and discusses how to:

• Create tableset IDs.

• Review record groups.

• Adjust tableset sharing for record groups.

• Adjust tableset sharing by using trees.

Pages Used to Implement Tableset Sharing

Creating Tableset IDs

Access the TableSet ID page (PeopleTools, Utilities, Administration, TableSet IDs).

Note. SetIDs should be five characters in length for optimal system performance.

Adjusting Tableset Sharing for Record Groups

Access the TableSet Control - Record Group page (PeopleTools, Utilities, Administration, TableSet Control, Record Group).

Set ID

Record Group Control

Establishing Compliance Projects

This section provides an overview of the methods for creating compliance projects and discusses how to:

• Define compliance projects.

• Copy compliance projects

• Define security for compliance projects.

See Also

Security

Understanding Compliance Project Creation Methods

You can create compliance projects by using either of the following methods:

• Define it from scratch.

• Create it by copying an existing compliance project.

To define a compliance project from scratch, you use the Compliance Project Definition (EPQ_COMPLPROJ_DEFN) component, specifying the project ID, description, and default setID.

To create a compliance project by copying an existing project, you run the Compliance Project Copy Application Engine process (EPQ_COPY_PRJ). This process copies the following data from the master risk control repository of the existing project to the new project:

• Business processes and subprocesses

• Risks

• Controls

• Diagnostics

• Entities

• Elements

The system also creates the portal content management folders for each business processes. Optionally, the process can copy security-related information and content management documents from the existing project to the new project. The system uses the setID relationships from the existing project by default, but you have the option to specify different setIDs.

Note. The system does not copy instance-level definitions, run control information, diagnostic results, or user preferences.

Only the current effective-dated rows are copied. The system uses the run date as the date for all effective-dated rows in the new project.

Prerequisites

Before you define a compliance project, you must define and configure the setID that you will associate with the compliance project.

Pages Used to Establish Compliance Projects

Defining Compliance Projects

Access the Compliance Project Definition page (Internal Controls Enforcer, Master Setup, Compliance Project Definition).

Compliance Project	Enter a five-character identifier for the compliance project.
Description and Short Description	Enter descriptions for the compliance project.
Default SetID	Select the setID that the system uses automatically when defining or viewing the objects associated with this compliance project. You can override this setID, if necessary. This field is available only when you add a new compliance project.
Create Project	Click to create the compliance project and associated database objects. This button is available only when you add a new compliance project.

Copying Compliance Projects

Access the Copy Compliance Project page (Internal Controls Enforcer, Master Setup, Copy Compliance Project).

Copy From Compliance Project	Select the compliance project to copy.
Copy To Compliance Project	Enter the ID for the new compliance project.
Description	Enter the description for the new compliance project.
Copy Compliance Security	Select this check box to copy security information from the existing project to the new project.
Copy Content Management	Select this check box to copy content management documents from the existing project to the new project.
Run	Click to run the Compliance Project Copy process.

Assign New SetID

This grid lists the setIDs for each record group for the compliance project that is being copied, and enables you to change them for the new project.

Defining Security for Compliance Projects

Access the Compliance Project Security page (Internal Controls Enforcer, Master Setup, Security Setup, Compliance Project Security).

Role Name	Specify the role name for which to define compliance project security.
Access Type	Specify how to assign security to this role. Options are: All Compliance Projects. Select to allow this role to access all compliance projects. Listed Compliance Projects. Select to list the compliance projects that this role can access. When you select this option, you must also complete the Compliance Project Security grid.
Compliance Project	Select the compliance projects that this role is able to access. This field is unavailable if the Access Type is set to All Compliance Projects.

Note. Project security is enforced at only the instance level (including the instance generation batch process). It is not enforced at the master level.