PeopleSoft Internal Controls Enforcer Pagelets

This section provides an overview of the PeopleSoft Internal Controls Enforcer pagelets and discusses viewing data through these pagelets.

Understanding PeopleSoft Internal Controls Enforcer Pagelets

PeopleSoft Internal Controls Enforcer provides a collection of pagelets that can be individually selected to appear on the PeopleSoft Enterprise Portal homepage. These pagelets provide at-a-glance access to essential data from PeopleSoft Internal Controls Enforcer; they are designed to allow users who have overall responsibility for corporate compliance to quickly see, at a corporate-wide level, areas where there are issues with the internal control certification process.

Users can personalize their portal homepages by adding the pagelets that they need. Standard PeopleSoft role-based security ensures that users can access only the pagelets appropriate to their roles.

Before using the pagelets, users should establish the default data that appears by using the pagelet user preferences pages.

Note. When you specify pagelet preferences, if you select more objects 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.

See Setting Up Preferences.

Viewing Data Through the PeopleSoft Internal Controls Enforcer Pagelets

This section discusses:

• Not Signed Off by Entity pagelet.

• Not Signed Off - Process pagelet.

• Unmitigated Risks by Entity pagelet.

• Ineffective Controls by Entity pagelet.

• Internal Controls by Entity page.

• Unmitigated Risks - Process pagelet.

• Ineffective Controls - Process pagelet.

• Internal Controls by Business Process page.

• Business Process Status pagelet.

• Report Business Conduct pagelet.

Not Signed Off by Entity Pagelet

Enables users who have overall responsibility for corporate compliance to review, by entity, the percentage of sign-off sheets that are not signed off.

The entities that appear are established by using the Pagelet User Preferences - Entities page. By clicking any of the bars you can access the Internal Controls by Entity page, which displays details for the business processes associated with that entity.

By clicking the Show All link, you can access a page that shows this information for all entities.

Not Signed Off - Process Pagelet

Enables users who have overall responsibility for corporate compliance to review, by business process, the percentage of sign-off sheets that are not signed off.

The business processes that appear are established by using the Pagelet User Preferences - Business Processes page. By clicking any of the bars you can access the Internal Controls by Business Process page, which displays details for the subprocesses associated with that business process.

By clicking the Show All link, you can access a page that shows this information for all business processes.

Unmitigated Risks by Entity Pagelet

Enables users who have overall responsibility for corporate compliance to review the percentage of unmitigated risks by entity for the active sign-off sheet.

The entities that appear are established by using the Pagelet User Preferences - Entities page. By clicking any of the bars you can access the Internal Controls by Entity page, which displays details for the business processes associated with that entity.

By clicking the Show All link, you can access a page that shows this information for all entities.

Ineffective Controls by Entity Pagelet

Enables users with overall responsibility for corporate compliance to view the percentage of ineffective controls by entity for the active sign-off sheet.

The entities that appear are established by using the Pagelet User Preferences - Entities page. By clicking any of the bars you can access the Internal Controls by Entity page, which displays details for the business processes associated with that entity.

By clicking the Show All link, you can access a page that shows this information for all entities.

Internal Controls by Entity Page

Enables users with overall responsibility for corporate compliance to view metrics on the state of internal controls certification for an entity by business process.

Entity Owner and Owner	Click on the name of any of the various owners (entity owner, business process owner, or subprocess owner) to access the Send Notification page, where you can send a notification to that individual.
Sign Offs	Click this link to view the percentages of subprocesses not signed off for each business process associated with this entity.
Risks	Click this link to view metrics about the unmitigated risks for each business process associated with this entity, analyzed by primary, secondary, and tertiary risks.
Controls	Click this link to view metrics about ineffective controls for each business process associated with this entity, classified by primary, secondary, and tertiary controls.
Action Plans	Click this link to view metrics about the action plans for each business process associated with this entity.
Business Process	Click on the business process description to access the Internal Controls by Business Process page, where you can view details for the subprocesses within that business process.

Unmitigated Risks - Process Pagelet

Enables business process owners to view the percentage of unmitigated risks by business process for the active sign-off sheet.

The business processes that appear are established by using the Pagelet User Preferences - Business Processes page. By clicking any of the bars you can access the Internal Controls by Business Process page, which displays details for the subprocesses associated with that business process.

By clicking the Show All link, you can access a page that shows this information for all business processes.

Ineffective Controls - Process Pagelet

Enables business process owners to view the percentage of ineffective controls by business process for the active sign-off sheet.

The business processes that appear are established by using the Pagelet User Preferences - Business Processes page. By clicking on any of the bars you can access the Internal Controls by Business Process page, which displays details for the subprocesses associated with that business process.

By clicking the Show All link, you can access a page that shows this information for all business processes.

Internal Controls by Business Process Page

Enables entity owners and business process owners to view metrics on the state of internal controls for the subprocesses within a single business process.

Process Owner and Owner	Click on the name of any of the various owners (business process owner, or subprocess owner) to access the Send Notification page, where you can send a notification to that individual.
Subprocess	Click on a subprocess description to access the Process Definition page, where you can view the details for the subprocess definition.
Sign Offs	Click this link to view the process priority and sign of status for each subprocess associated with this business process.
Risks	Click this link to view metrics about the unmitigated risks for each subprocess associated with this business process, classified by primary, secondary, and tertiary risks.
Controls	Click this link to view metrics about ineffective controls for each subprocess associated with this business process, classified by primary, secondary, and tertiary controls.
Action Plans	Click this link to view metrics about the action plans for each subprocess associated with this business process.

Business Process Status Pagelet

Enables business process owners to view sign off percentages, risk mitigation percentages, and control effectiveness percentages, for a single business process.

The business process for which these percentages appear is established by using the Pagelet User Preferences - Business Processes Status page.

Report Business Conduct Pagelet

Enables users to anonymously report violations of business conduct policies, or other wrongdoing.

Explain Incident	Enter a description of the incident.
Submit	Click to report the incident.

You can view reported incidents by using the Reported Business Conduct page.

See Viewing Reported Incidents.