Assigning compensating controls to a rule

Compensating controls are a list of instructions, procedures or agreements that support the existence of an exception. They are used to mitigate any potential risk as a result of objects excluded from a rule.

If you are a business process owner for this rule, you can assign compensating controls to the rule. You have these options:

  • Assign compensating controls to the base rule  

    When you assign compensating controls to the base rule, all the compensating controls attached to this rule are available to support the exclusions defined for this rule on the Document Exclusions page.

  • Assign compensating controls to the parameter lists associated with the rule

    When you assign compensating controls to the parameter list associated with this rule, only those compensating controls attached to the parameter list are available to support the exclusions defined for this rule on the Document Exclusions page.

Assign compensating controls to a rule as follows:

  1. From the Valid For drop-down list, select base rule to assign the compensating control to the base rule or click Add/remove Parameter Lists to assign the compensating control to a parameter list. The Parameter Lists field is displayed. Provide a parameter list name in the autosuggest text box or click the Browse icon to locate and select the desired parameter list.
  2. In the Compensating Controls tab below, click the Reassign icon. A pop-up window displays a list of all the existing compensating controls.
  3. Select the required compensating control and click  the Reassign icon. The selected compensating controls are displayed in the Compensating Controls field.
    Note:  If you have the required permissions to create a new compensating control, you the New button is displayed. Click New to create a new compensating control to assign to the rule.

    For details on the permissions required, refer to the Compensating Controls topic .

  4. Click the date in the Assignment Expiry column to edit the validity of the compensating control assigned to the rule. Provide a date in the text box or click the Calendar icon to select a date from the calendar and click OK. Select the Apply to All check box to apply the same validity date across all the compensating controls assigned to this rule.
    Note:  All the dates selected on this panel are saved according to the Infor Risk & Compliance application server time zone.

    Once the compensating control assignment has expired, a notification is automatically sent to the rule owner and rule creator.