Rationalize control objective clusters

Use control objective clusters to identify duplicates and create a rationalization process.

Vorbereitungen

Roles required: compliance_workspace_analyst and rationalization_process_writer

The control objective clustering skill must be activated and the GAF scheduled job must have run at least once to generate cluster data.

Warum und wann dieser Vorgang ausgeführt wird

After the GAF scheduled job runs, the control objective cluster table is populated with cluster groups and subgroups. You can initiate rationalization from the Clusters module by selecting control objectives from one or more groups, or from an individual control objective form.

The following validations apply when you select control objectives and click Rationalize:

• If only one control objective is selected, rationalization cannot proceed. At least two control objectives are required.
• If all selected control objectives already have an active rationalization process, you are prompted to cancel the existing process before proceeding.
• If some selected control objectives have an active rationalization process and others do not, you can choose to proceed. Only the control objectives without an active process are added as recommendations to a new rationalization process.
• If control objectives are selected from two or more different cluster groups, a drop-down prompts you to select which group name to use as the rationalization process name.

Prozedur

1. Navigate to All > Policy and Compliance > Control Objectives > Clusters.
2. Review the clustered control objectives.

   By default, all control objectives are shown, including both clustered and outlier records. To view only outlier control objectives, select Outliers. To return to the full list, select All.

   The Rationalization Process column shows whether a control objective already has an active rationalization process.

3. Select two or more control objectives from the same cluster group that you want to rationalize.
4. Select Rationalize.
5. If prompted, resolve any validation messages before proceeding.
   • If some selected control objectives already have an active rationalization process, select Proceed to add the remaining control objectives as recommendations to a new rationalization process. To include the others, navigate to their existing rationalization process and cancel it first.
   • If control objectives from two different cluster groups are selected, choose the rationalization process name from the drop-down and select Rationalize.

Ergebnisse

A rationalization process is created with the selected control objectives as recommendations. The Rationalization Process column in the Clusters module is updated to reflect the newly created process. Continue with the rationalization process to identify duplicates and consolidate the control objectives.

For more information, see Generate recommendation for similar control objective.

To rationalize a single control objective from its form rather than from the Clusters module, open the control objective record and select Rationalize. If the control objective is an outlier, a message indicates that no similar control objectives were found and provides a link to the Outlier Control Objectives module. If cluster members exist, a rationalization process is created automatically with those members as recommendations.