Entity Documentation

Protiviti's Governance Portal contains a repository of documentation structured by organizational unit, process classification, and financial reporting element. Documentation associated with organizational units, processes, IT applications, and projects/events typically provides reference information or context for the various data driven analysis conducted within the Governance Portal.

Document Management encapsulates the following:

Creating formats that allow project teams to pre-establish document "placeholders" for required documentation.
Selection of formats for an organization, process, IT application, or project/event.
Uploading of files (attachments) or linking of URLs to documents by end-users for specific organizations, processes, IT applications, and/or projects and events.

Document formats establish "placeholders" for required documentation and are created and selected for each organizational unit, process, IT application, and/or project/event. This list provides the user with a standard set of documentation that must be uploaded or linked. While this is a suggested list of documentation, additional documentation can be added by utilizing the Add button located at the top of the Additional Document List.

Note: Only one document format can be chosen for a specific organizational unit, process, IT application, or project/event.

Documentation management also includes the process of updating documentation status. Protiviti's Governance Portal allows you to track the status of the "groupings" as well as individual documents. The overall-status can be tracked for the organization documentation, process documentation, IT application documentation, project/event documentation, and Risk Control Matrix level. Additionally, you may track the status for each individual document. Documentation can be attached directly to an organizational unit, process, IT application, or project/event. Documentation can be viewed within a group and also can be viewed individually.

Users have the ability to access and add documentation from the following areas of the Governance Portal:

The Action Items list
1. Click the Favorites & Action Items tab in the left navigation pane.
2. Expand Action Items..
3. Expand Documentation.
4. Click a sub category (e.g. general, review etc.)
5. Click on the Action Menu and select document list next to the appropriate object.
The Organization Tab (organization and process documentation only)
Organizational Unit Documentation
1. Access the Organizational 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. Click the Documentation Status link for the appropriate Organizational Unit.
Process Documentation
1. Access the Organizational 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. Click an Organizational unit.
3. Click the Documentation Status link for the appropriate process in the Process Model section.
The IT Application or Projects/Events tab (IT application and project/event documentation only)
IT Application Documentation
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 Documentation status for the appropriate IT Application.
Project and Event Documentation
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. Click the Documentation status link for the appropriate Project/Event.
The Documentation Link
Organizational Unit Documentation
1. Access the Organizational 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. Click the Organizational unit.
3. Click the Documentation Status link on the Organizational Unit Form.
Process Documentation
1. Access the Organizational 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. Click the Organizational unit.
3. Click the Process to which you wish to access documentation.
4. Click the Documentation Status link.
IT Application Documentation
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 for which you wish to access documentation.
3. Click the Documentation Status link.
Project and Event Documentation
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. Click the project/event for which you wish to access documentation.
3. Click the Documentation Status link.
The Financial Element
Process Documentation
1. Access the Financial Model.
  The Financial Model link is not present in the ribbon by default. You can add the Financial Model link manually via the Ribbon Settings.
2. Click Expand to view a category under the Category column.
3. Expand the desired sub-category under the Sub-Category column.
4. Click the desired financial element under the Element column.
5. Click Process Links.
6. Click the link under the Documentation status column.