Mitigating exclusions

Mitigate exclusions to avoid business risks. You can mitigate exclusions by assigning compensating controls to the excluded objects.

To review and mitigate exclusions:

  1. Select Design > Business Controls > Exclusion List on the navigation bar.
  2. Click corresponding to a rule book to review the rules with exclusions.
  3. Click corresponding to a rule name to review the details of the rule and to mitigate the exclusions.
  4. Review this information:
    Rule Book
    The name of the rule book that comprises the rule.
    Rule
    The name of the rule.
    Rule Format
    The format of the rule.
    Risk Description
    The description of the rule.
  5. Click the Document Exclusions section to review the list of the excluded objects.

    Review this information:

    Excluded Objects
    The list of objects excluded in the rule.
    Attributes
    The excluded attribute of the object.
    Operator
    The condition to define the excluded attribute.
    Values
    The value of the excluded attribute.
    Source
    The source from where the object is excluded.
    Valid Through
    The date up to which the exclusion of the object is valid.
    Note: Click the date to select a different date from the calendar or retain as Never Expires. Select the Apply to All check box to set the same expiry date for all the exclusions assigned to the selected rule.
    Compensating Controls
    The number of compensating controls assigned to the excluded object.
  6. Click to assign a compensating control to the excluded object. The Assign Compensating Control screen is displayed. You have these options:
    Note: Click the Assign Compensating Controls option to assign compensating controls to multiple excluded objects simultaneously.
    • Click to create and assign a compensating control to the excluded object. See, Working with compensating controls..
    • Click to select and assign an existing compensating control to the excluded object.
      Note: This option is enabled only when you select at least one compensating control to assign.
  7. Click Assign.
    You can also use the Document Exclusion section to:
    • Export the displayed data to Excel, using the option.
    • Delete an excluded object, using the option.
      Note: This option is enabled only when you select at least one excluded object to delete.