View the Risk Control Matrix - Checklist

Checklists are created and managed from the Checklists link. Process owners respond to checklist questions through a "checklist" object linked to their respective Risk Control Matrix. The checklist can be accessed from 1) the Process Model 2) the Organization Model 3) a link on the Risk Control Matrix main form and 4) the Risk Control Matrix - risk form.

Note: Changes in the control environment are the most likely to impact the design evaluation, which is performed on the Risk form.

View the Risk Control Matrix - Checklist from the Process Model

A column contained on the Process Model reflects the process owner's summary of the responses to questions contained on the checklist. This summary column allows other business owners (e.g. controllers, project team members) to quickly identify areas where change may be occurring in the internal control framework. The Risk Control Matrix - checklist can be accessed via the Checklist Summary column on the Process Model.

1. Access the Organization Model.
   1. Select the Default GRC context from the context menu.
   2. Click the GRC Register tab.
   3. Select Entity Hierarchy from the Frameworks group.

      

   4. Expand the Organizational Unit folder to view the list of organizations.

      

2. Double-click an Organizational Unit.
3. View the Process Model section.

   Notes: If checklists have been linked to processes AND questions pushed to Risk Control Matrices, a link containing the Checklist Summary value will be contained within the Checklist Summary column. If the column displays N/A in black font, checklists have not been linked and pushed to a Risk Control Matrix for a particular process.

4. Click Checklist Summary.

   Note: You will be taken to the Risk Control Matrix - Checklist form.

View the Risk Control Matrix - Checklist from the Risk Control Matrix main form

1. Access a given Risk Control Matrix (organization, process, IT application, or project/event).
   1. Access the Projects and Events Page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Projects and Events folder. The list of projects and events will appear below the folder.

         

   2. Double-click the project/event name.
   3. Click on the Risk Matrix Status link for the Project/Event.
   1. Access the IT Applications page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the IT Application folder to view the list of IT applications.

         

   2. Click the IT Application name.
   3. Click on the Risk Matrix Status link for the IT Application.
   1. Access the Organizational Model Page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Organizational Unit folder to view the list of organizations.

         

   2. Double-click the Organizational Unit name.
   3. Click Expand to view the Process Model.
   4. Click on the Risk Matrix Status link for the process.

   1. Access the Organizational Model page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Organizational Unit folder to view the list of organizations.

         

   2. Click the Organizational Unit name.
   3. Click on the RCM Status link.
2. Click the Checklist Summary link in the main attributes section.

   Note: You will be taken to the Risk Control Matrix - Checklist form.

View the Risk Control Matrix - Checklist from the Risk form

1. Access a given Risk Control Matrix (organization, process, IT application, or project/event).
   1. Access the Projects and Events Page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Projects and Events folder. The list of projects and events will appear below the folder.

         

   2. Double-click the project/event name.
   3. Click on the Risk Matrix Status link for the Project/Event.
   1. Access the IT Applications page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the IT Application folder to view the list of IT applications.

         

   2. Click the IT Application name.
   3. Click on the Risk Matrix Status link for the IT Application.
   1. Access the Organizational Model Page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Organizational Unit folder to view the list of organizations.

         

   2. Double-click the Organizational Unit name.
   3. Click Expand to view the Process Model.
   4. Click on the Risk Matrix Status link for the process.

   1. Access the Organizational Model page.
      1. Select the Default GRC context from the context menu.
      2. Click the GRC Register tab.
      3. Select Entity Hierarchy from the Frameworks group.

         

      4. Expand the Organizational Unit folder to view the list of organizations.

         

   2. Click the Organizational Unit name.
   3. Click on the RCM Status link.
2. Expand the Risk List.
3. Click the Risk name.
4. Click Checklist Summary.

   Note: You will be taken to the Risk Control Matrix - Checklist form