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IBM OpenPages GRC Platform7.1.0 �
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�σ≤A�≤ IBM OpenPages GRC Platform 7.1.0 �A�iαA�≤ß≥��C
Licensed Materials - Property of IBM Corporation.
© Copyright IBM Corporation, 2003, 2015.
US Government Users Restricted Rights – Use, duplication or disclosure restricted by GSA ADP Schedule Contract withIBM Corp.
�²
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� 1 � sW\α . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17.1.0 �ñ�sWS� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
� 2 � J� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3nJ OpenPages GRC Platform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3nX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3�²⌠μ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4�ú�D - �� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6���� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6�≤Gs²B��B�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
� 3 � �zz�]w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9��]w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9�≤z�KX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
�≤yÑ⌠�]w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
� 4 � sW½≤Ω�B��AH�÷p . . . . . . . . . . . . . . . . . . . . . . 11s�½≤Ω� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11��sWδF�sW½≤Ω� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
sWΩ�¿ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13�í URL �� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13N�í��sW�Ω�¿ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13N�í��s��½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
½≤ºí�÷p . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
� 5 � sΦ�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15M��≤�h�½≤]jq≤s� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15b⌠μ�wLoMμ°�ñsΦ½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . 15sΦ��°�ñ�½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16sΦΩ�¿í� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16sΦ��í� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16�²�½≤����� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17�úΩw½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17�s½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17½sπz��W�ΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
� 6 � jM�LoΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19÷≤Lo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19��iÑLo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19��xs�Lo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20sΦwxs�Lo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Rúxs�Lo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20�sjMLo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21RWjMLo� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21⌠�iÑLo�e� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21qwLojM�XΩ� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21�XjMLo��G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21MúLo�jM�G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22��Ω� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
iii
wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
� 7 � �°ΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25�ε⌠μ�Lo�°�W��μπ�e� . . . . . . . . . . . . . . . . . . . . . . . . . . 25½��μ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25�°½≤��≤�{ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26�°�±�∩σriμ��O�≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26�°Ωw . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27�°�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27��úPμí�°°i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28q�����°����� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
� 8 � �z��u@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29�°ΩTdW�Kn½≤ΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29ú���°°i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29í�°��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29�¿�@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30½sⁿú@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30�¿@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30w∩@�iμ�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31∩�ú�°ig� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31½sⁿúDn� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31½sπz��W�ΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31MP�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32��u@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32]w��q���n]w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32úμu@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33qLo�Mμ°��⌠μ°�úμu@ . . . . . . . . . . . . . . . . . . . . . . . . . 33qΩ�¿°�úμu@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33q��°�úμu@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
�εu@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
� 9 � sΦ½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35Uⁿ��HiμsΦ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35�s½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35b⌠μ�wLoMμ°�ñsΦ½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . 35�s���� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36Rú½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36÷p½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37�°÷p½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37N½≤��úPΩ�¿ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38Ωw½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38q����sWl½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39½sRW½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39q½≤����½sRW½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40qΩ�¿°���½sRW½≤�Ω�¿ . . . . . . . . . . . . . . . . . . . . . . . . . 40
� 10 � ��½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41��ΩΘ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41��ΩΘ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41��ΩΘº[ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41��ΩΘΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42��ΩΘ��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42q⌠μ°�sW�½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Mμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
iv IBM OpenPages GRC Platform 7.1.0 �G ��ΓU
�úΩw��½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44�I�q . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44�I�q . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44�I�qº[ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45�I�qΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45�I�q��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
�I�q�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47�I�q�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47�I�q�⌠��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
�ε� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48�ε� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49�ε�Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49�ε���°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
{� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50{� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50{�º[ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51{�Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51{���°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
{��⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53{��⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53{��⌠Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53{��⌠��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
l{� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55l{� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55l{�Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55l{���°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
�ε . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57�ε . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57�εΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58�ε��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
�ε�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59�ε�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59�ε�⌠Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60�ε�⌠��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
�I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61�I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61�IΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62�I��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
�I�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63�I�⌠ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63�I�⌠Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63�I�⌠��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
��p�����G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65��p� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65���G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65wLoM� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
² v
��p�����GΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66��p�����G��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
�D��D�@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67�D��@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67sW�@���� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67�¿�@� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68�D��@�Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69�D��@���°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
�n]ws���n]w . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70�n]w��n]ws� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70�n]ws���n]wΩ�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . 71�n]ws���n]w��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
��Bϕμ��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72s²s� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72qu��v��sW�s��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72quΩ�¿°�v�us²s�v∩�sW�� . . . . . . . . . . . . . . . . . . . . . . 73�≤Gs²B��B�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73���J��X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74ϕμ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74sWϕμ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74N��sW�@��u@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74�s°����� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75�X�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75�J�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75�°���X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75����Bϕμ��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76N URL ��sW�½≤°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76N��sW@��u@ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76W����s�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77sWϕμ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
���Ωw . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78���Ωw . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78sW�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
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Capital Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88Capital Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88wLoMμ°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89Capital Modeling Ω�¿°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89Capital Modeling ��°� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
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� 11 � ��ΩT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93��O� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93s²s� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93�≤�{ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93���J��X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94����Bϕμ��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95ϕμ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95q� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95Dn�÷p . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95RWΩ�¿B½≤����Wh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96°��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97\αϕC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
� 12 � �� OpenPages Internal Audit Management ½≤ . . . . . . . . . . . . 99J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
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� 13 � �� OpenPages IT Governance ½≤ . . . . . . . . . . . . . . . . . 113J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
OpenPages IT Governance �� . . . . . . . . . . . . . . . . . . . . . . . . . . . 113z��A�� IBM OpenPages IT Governance Ny . . . . . . . . . . . . . . . . . . . 113
�� IT Governance ½≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114kO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114lkO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116�D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118�εp� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120≥�u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122Ω��Ω��� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125o��≤ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127÷Σ�Iⁿ� (KRI) M� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129÷ΣZ�ⁿ� (KPI) M� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
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� 14 � �� Operational Risk Management ½≤ . . . . . . . . . . . . . . . . 141J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
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� 15 � �� OpenPages Policy and Compliance Management ½≤ . . . . . . . 165J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
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� 16 � �� OpenPages Financial Controls Management ½≤ . . . . . . . . . . 201J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201��í� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
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