Document Exclusions

When you exclude violating objects from a rule, you may want to provide compensating controls to mitigate any associated risk. Compensating controls document the reasons for the exclusion.

The Document Exclusion page displays information on two panels:

• The Rule Information panel displays general details about the rule such as the rule book name, the rule format and the description of the rule, if any.
• The Document Exclusions panel displays the list of objects excluded from the selected rule and the source of exclusion, that is how the object was excluded from the rule - directly or via a parameter or a parameter list. It also displays the count of parameters attached during exclusion, if any, the validity date for the exclusion. This date is according to the Infor Risk & Compliance application server time zone. The mitigated objects will display the number of compensating controls attached in the Compensating Controls column, whereas the objects that are excluded but not mitigated will not have any compensating controls assigned.

For details, see the respective Configuration Settings Guide.

You can take these actions from this page:

• Add compensating controls to a rule
• Create a new compensating control
• Set the validity period fro the exclusions defined
• Delete exclusions