Release Notes for IBM Lotus Workplace for Business Controls and Reporting

This document contains the release notes for IBM® Lotus® Workplace for Business Controls and Reporting, Version 2. The release notes describe workarounds for known defects and provide supplemental information on topics that might also be covered in the Lotus Workplace for Business Controls and Reporting Help.

System requirements

Refer to the IBM Lotus Workplace for Business Controls and Reporting Administrator's Guide for a list of hardware and software requirements.

Additional information for installing and configuring

See these topics:

Executing the install on Windows 2000

To execute the installer on Windows 2000, you must do the following:

Determine the WAS_HOME environment variable

Make sure the %WAS_HOME% environment variable is set, as follows:

Type set WAS_HOME on the command line.

Set WAS_HOME if needed

If %WAS_HOME% is not set, follow these instructions for seting the environment variable:

  1. Select Start --> Settings --> Control Panel
  2. The Control Panel window opens.

  3. Click on the System icon.
  4. The System Properties"window opens.

  5. Click on the Advanced tab and click the Environment Variables button.
  6. The Environment Variables window opens.

  7. Under the System Variables section, click the New button.
  8. In the New System Variable pop-up,

Run the installer

Run the installer by double-clicking the installWin32.bat script. Do not use install.exe

If you have problems running the installation script directly on a Windows 2000 Advanced Server, see Running the Installer on Windows 2000 Advanced Server.

Running the Installer on Windows 2000 Advanced Server

When attempting to execute the installer on Windows 2000 Advanced Server, you may not be able to run the application directly by double-clicking on win32install.bat. Instead, you may have to run the installer through the "Add/Remove Programs" Windows utility.

Follow these steps:

  1. Open the Control Panel:
  2. Start --> Settings --> Control Panel

  3. Open the Add/Remove Programs utility.
  4. In the Add/Remove Programs window select:
  5. Add New Programs --> CD or Floppy

    The Install Program from....window will open.

  6. Click Next and browse to the location of win32install.bat.
  7. Click Finish.

The LWBCR install program will start.

Creating a top-level organization unit and owner

After successfully installing the IBM Lotus Workplace for Business Controls and Reporting application using the installer as described in the Administration documentation, follow these additional steps for creating the top level organization unit and owner.

  1. When importing the users from the LDAP into the CM, make sure the top level organization owner is among the users added.
  2. Assign the top level organization owner to the SOXDefUpdaterGroup.
  3. Navigate to the LWPBCR install location (Ex: C:\Program Files\LWBCR).
  4. Type the following command to create the top level organization unit/owner:
  5. antCaller.bat(sh) createBase
    

Do not run this command more than once. It is possible to create two top-level organization units without generating an error message. The second top-level organization unit will be useless.

Using the LWBCR Application Groups

LWBCR version 2 has several Groups defined within Content Manager. This section describes the use and purpose of each group.

As an example, here are some typical types of users, and the groups they should be assigned to.

Finally, here are some of the symptoms of users NOT being assigned to the different groups:

Adding LDAP users to Content Manager - change in procedure

This procedure should replace the procedure in the administration documentation entitled "Adding LDAP users to Content Manager. (SPR: LBOS5ZEU62)

The change is in step 9: The Grant privilege set field should be set to NoPrivs.

  1. On the Content Manager server, start the System Administration Client.
  2. Navigate to Library Server Parameters --> Configurations.
  3. Select Library Server Configurations in the right-hand panel. Right-click and select Properties.
  4. Select the Definition tab and enable Allow trusted logon.
  5. Click OK.
  6. Navigate to Authentication --> Users.
  7. Delete all users except ICMADMIN and ICMCONCT:
  8. In the upper left of the System Administration Client window, right-click the Users icon and select New.
  9. In the New User dialog, set the Privilege set field to SOXUpdatersPrivSet and Grant privilege set field to NoPrivs. Then click LDAP.
  10. In the Import Users from LDAP dialog, click Find All. A list of all LDAP users is returned
  11. Select all of the LDAP accounts for Business Controls and Reporting users and click OK.
  12. On the New User dialog, make sure that Obtain from LDAP is checked, then click OK. Although only one account is displayed, all of the accounts that were selected will be added to the list of Content Manager users.
  13. Select Authentication --> User Groups.
  14. Double-click each of the following groups and add Business Controls and Reporting users as specified:
  15. Important: Do not add ICMADMIN or ICMCONT to any of these groups.

  16. Close the System Administration Client.

Running the Catalog Import Security utility

This is a standalone utility that will create a new group and ACL called SOXCatImportGroup and SOXCatImportACL. The "SOsystem" itemtype is updated with itemtype level ACL "SOXCatImportACL". The members of this group can create catalog of items from an XML document and Excel spreadsheet.

The catalog importer utility should be run as a standalone utility, or as part of a suite of LWBCR V2 utilities used to create a catalog of items.

The catalog importer utility should run with the following parameters:

To run the utility, follow these steps.

  1. Open an EIP Development Window.
  2. Make sure that "cmsol.jar" containing com/ibm/cmsol/CreateSOXCatImportSec.class is added to the CLASSPATH.
  3. Run the following command :
  4. java com.ibm.cmsol.CreateSOXCatImportSec <database> <admin_userid> <admin_password>

Running the catalog import utility

Follow these steps to import a catalog.

  1. Create a Catalog directory under <LWBCR_INST>, which is the directory where the LWBCR install files were saved. Usually looks like C:\Program Files\LWBCR.
  2. Save the catalog for import to the newly created Catalog directory.
  3. Open an EIP Development Window and navigate to <LWBCR_INST>\CMUtil.
  4. Add cmsol.jar to the classpath. This is provided with the installation at: <LWBCR_INST>\lib.
  5. Issue the following command:

    set classpath=%CLASSPATH%;<LWBCR_INST>\lib\cmsol.jar.
    
  6. Execute the catalog import command:
  7. importCatalog.bat <ICMDB> <ICMADMIN> <PASSWORD> <CATALOG> <RESULT>

    Where:

    <ICMDB> is the Content Manager Database name

    <ICMADMIN> is the Content Manager Administrator username

    <PASSWORD> is the Content Manager administrator password

    <CATALOG> is the location of the catalog to be imported (Ex: C:\Program Files\LWBCR\Catalog\[filename.xml])

    <RESULT> is the location of the file to contain the results of the import (Ex: C:\Program Files\LWBCR\Catalog\[resultfile.xml])

Obtaining the Porlet Wiring Tool

When setting up 'wires' for the portlets, you can get the Portlet Wiring Tool from the following site:

https://www-3.ibm.com/services/cwi/portal/.cmd/ActionDispatcher/_pagr/105/_pa.105/112/.st/X/.piid/139/.ciid/170/PC_139_NAVCODE/1WP10004E

Upgrading stored procedures

As part of the upgrade to Lotus Workplace for Business Controls and Reporting V2, the stored procedures must be upgraded on the CM library server.

Follow these steps.

  1. Download the .zip or .tar archived file from the distribution CD:
  2. Uncompress the archived file to a directory.
  3. Open a DB2 Command Window.
  4. In the DB2 Command Window, change directory to where you uncompressed the file.
  5. Run the command
  6.  UpdReps.bat  < db_alias >  < userid >  < password >  < db_schema >
    

    Where:

This .bat file will create the language tables and load data into these tables for multilingual support.

It will then recreate all the DB2 Stored Procedures that are the reports.

Upgrading from English to multilingual version

If you have already installed LWBCR V2 in English and are now upgrading to a language other than English, follow these steps.

  1. Save the following files to a folder on your CM server.
  2. If your database schema is not "ICMADMIN", open create_lang.bat or create_lang.ksh and edit the first line "db2 set current schema ICMADMIN". Change "ICMAMDIN" to the database schema you have. Save the file.
  3. Open the DB2 command window on your CM server.
  4. Log on to the directory where you have saved the files in step 1.
  5. Type the following commands.
  6. db2 connect to <DB_NAME> user <USER_ID> using <PASSWORD>
    create_lang.bat (or create_lang.ksh)

    Note: <DB_NAME> is usually ICMNLSDB; <USER_ID> is usually ICMAMDIN.

Additional instructions for archiving

Since the documentation for archiving was finalized, further information has become available. This information has to do with the following topics:

Archive encryption

Encryption of archive files has not been implemented in the current release of IBM Lotus Workplace for Business Controls and Reporting. References to encryption and decryption in the Archiving section of the Administrator's Info Center do not apply.

The -publicKey parameter in the Content Manager command line should be omitted.

Command line parameters - changes

Some of the command line parameters documented in the archiving documentation for the Administrator's Info Center no longer apply. If included in the command line, they may generate error messages.

The following command line parameters should not be used:

-maxBufSize
-maxFileSize
-publicKey

Switching between production and archive databases

Follow these steps to switch between the production and archive databases.

Re-cataloging the database

Follow these steps.

  1. Start the Configuration Assistant:
  2. In the list of aliases, right-click the alias for the LWBCR database (for example, ICMNLSDB).
  3. From the context menu, select Change Database.
  4. In the next dialog box, choose 3. Database in the left column. The Change Database Wizard displays.
  5. Enter the database name for the archive database (for example, ICMARCH1).
  6. Enter the database alias: ICMNLSDB.
  7. Click Finish and test the connection.
  8. Use the CM SysAdmin client to connect to the database.
  9. In the User Properties dialog box, make sure the user ICMCONCT has "UserDB2TrustedConnect" privilege set.
  10. In the Library Server Configuration dialog box, make sure Allow trusted logon is selected.
  11. In the DB2 control center, make sure the user ICMCONCT has set the Authorities to Connect to database.

Users logging on to the LWBCR database will now see the archive. The archive database is read-only.

To change back to the production database, repeat these steps, entering the name of the production database in Step 5. Note that the alias remains the same for both the production and archive database.

Installing Reports components for archives

Follow these steps on the Content Manager Server.

  1. Unzip the file InstReps.zip (under Reports on the install CD) into a directory.
  2. Open a DB2 Command Window.
  3. Set the environment variable for the C++ compiler as follows:
  4. db2set DB2_SQLROUTINE_COMPILER_PATH=<location of vcvars32.bat>

    Where <location of vcvars32.bat> is the path to vcvars32.bat, typically "c:\Micros~1\vc98\bin\vcvars32.bat" for C++ V6 or "c:\Program Files\Microsoft Visual Studio .NET\Common7\Tools\vsvars32.bat" for C++ V7

  5. In the DB2 Command Window, change to the directory where you unzipped the file.
  6. Run the following command:
  7. InstReps  <db_alias>  <userid>  <password>  <db_schema>

    Where:

Additional features

The following features were added:

Description field added

SPR

None

Details

An entry field for description has been added to Organization Units and Processes.

Workaround

None

New report type: User Management

A new report, User Management, is available. It lists users by group, role, and area:

Known problems and workarounds

The following notes identify known problems and limitations in the IBM Lotus Workplace for Business Controls and Reporting.

Problem: If the creation of the top level root Business Unit fails, it still reports success

SPR

ZNJN5ZE9EA

Details

Creation of the top level Business Unit will proceed to the end and report success, even if creation of the top level fails.

Workaround

None

Problem: End and Close dates do not display when changed

SPR

ZNJN5YAGTT

Details

In the Setup tab, if you click Edit Setup and change the End Date or Close Date, the new date appears correctly. If you click Edit Setup again, the date reverts to the previous date.

Workaround

The revised date is saved to the server; this is a display problem. You can log off and log back on to refresh the display.

Problem: Unauthorized portal users receive confusing error message

SPR

ZNJN5XABRX

Details

Users who log on to Lotus Workplace Business Controls and Reporting receive a confusing error message ("Unable to complete operation") if they do not have rights to access the Content Management data.

Workaround

None. The portal administrator should make sure that the correct users and groups have access.

Problem: Portlet header titles not correct

SPR

JSCA5X4N78

Details

As delivered, the portlet header titles are generic. They can be customized for specific uses in LWBCR. Following are some suggestions.

Workaround

The on-line documentation indicates that these titles may be further expanded programmatically to include, for instance, the type of list (My business units) or the name of the item (Current processes; Controls for current subprocess). This programmatic feature has not been implemented in the current version.

Problem: Refreshing a page after adding a risk adds another risk with the same name

SPR

AKAV5SLFNY

Details

  1. On the Documentation tab, navigate to Business process - Subprocess - Objectives. Click Add Risk.
  2. Fill out the information for adding a risk.
  3. Refresh the page.

A second risk is added with the same name.

Workaround

Delete the second risk.

Problem: Validation flaw in Add Objective

SPR

AKAV5SLGU6

Details

In Add Objective, if you enter an empty name or a name consisting only of spaces, you cannot access this objective through the list of objectives in order to see its risks. There is no validation to prevent empty names.

Workaround

Do not create objectives with empty names or names with only spaces.

Problem: No warning when deleting self as owner or delegate

SPR

KBAN5VZG2J

Details

It is possible to delete yourself as an owner or delegate, without receiving a warning or confirmation prompt.

Workaround

None

Problem: Business unit names can become invisible to specific portlets and to some operations if root business unit is placed in edit mode by two people at one time

SPR

YCYC5Z5JGW

Details

Under some circumstances, a new business unit name will be lost. One scenario:

  1. An administrator or delegate "A" logs on and opens a business unit, we'll call it "root," and then places it in Edit mode.
  2. An administrator or delegate "B" logs on from a different machine and adds a new business unit directly under the business unit being edited by "A" and saves the new data..
  3. "A" changes the name of the "root" business unit and saves the business unit.
  4. "B" refreshes the tree portlet completely or logs off and logs on.

The new business unit name does not appear in the Children List portlet or in the Tree Control portlet. The new business unit name does appear in the Flat List portlet. If you click on the business unit, however, it displays in the Item Detail portlet as "More items" under the root business unit..

Workaround

Coordinate changes to any "root" object -- which is to say, any object that can have children -- such that no one is editing the "root" while children are being added, deleted, or updated, as data can be "orphaned." This is a limitation in how Content Management updates on-disk data. A good way to guard against this problem is to restrict the number of delegates for any one object. Do not share IDs.

Problem: Refreshing a page after creating a new business unit creates a duplicate of the new business unit

SPR

AKAV5SRDJZ

Details

  1. Click Add Business Unit.
  2. Fill in the form and click OK.
  3. Click the Reload button on the browser.

A duplicate of the business unit is created every time you reload the browser.

Workaround

Delete the extra business unit.

Problem: Elements with the same name will not display as separate units in the Reports

SPR

ZNJN5ZDG75, KBAN5ZAB3S

Details

If you create two elements (business units, processes, subprocesses, risks, controls, captions, etc.) with the same name, they will appear as a single element in the Reports tab. Sub-elements for elements of the same name will all appear together under the single element.

Workaround

Do not create elements with the same name.

Problem: Refreshing a page after adding a process adds another process with the same name

SPR

AKAV5SRH4U

Details

  1. Click Add Process.
  2. Fill in the form and click OK.
  3. Click the Reload button on the browser.

A duplicate of the process is created every time you reload the browser.

Workaround

Delete the extra process.

Problem: A user can change another user's objective associations for risks

SPR

VFEG5SLR5P

Details

On the Documentation tab, it is possible for more than one owner or delegate be logged on at one time and to link risks to the same objective.

When this happens, the last user's links are saved and the previous links are lost.

Workaround

Do not allow more than one owner or delegate to work on objective associations at the same time.

Problem: XML file can be imported more than once

SPR

JEHG5WZ9KF

Details

It is possible to import an XML-format catalog more than once from the command line window. No error message is generated, and the catalog shows up more than once in the Setup tab.

Workaround

None; be careful to import XML-format catalogs only once.

Problem: Content Manager server and DB2 must be set up for Unicode

SPR

FBAY5XCMD9

Details

In a new installation, the CM server should be set up for Unicode. The installation screens contain a prompt to enable Unicode by selecting a check box; the default is a cleared check box.

In an existing installation, a new library server database must be created with Unicode enabled, and then the data migrated into it. There is a shortcut in the Content Manager program group to create a new library server database; that shortcut launches a script that prompts the user for information about the database. One of the prompts is for Unicode.

Once the new database has been created, refer to the CM documenation for instructions on migrating data.

There is also a DB2 environment variable that must be set to ensure proper UTF-8 (Unicode) data conversions: From a DB2 Command Window, execute the command db2set DB2CODEPAGE=1208. Then either reboot the machine, or stop and restart the DB2 services.

Workaround

None

Problem: Crystal server for AIX must be set up for Unicode

SPR

KBAN5YFHFM, KBAN5YGAF5, BHYI5YFFL9, and others

Details

The Unicode Driver is needed for the AIX installation of Crystal Reports.

Workaround

Use the "DB2 Unicode Driver" for Crystal on AIX. You can get the driver from:

http://www.businessobjects.com/products/downloadcenter/

The file name is: installnewdriversv10aix_en.tar.gz, it is DB2 unicode driver for Crystal 10.

Problem: Illegal characters cause unexpected results

SPR

AKAV5STJ5K, SSHT5W4RQS

Details

Using the characters " & < > in entity tags (i.e., names of organization units, business processes, subprocesses, objectives, risks, controls, or test steps; or other fields) can make the entity not appear in subsequent lists, not be editable, or generate a confusing error message. There is no character validation on the input fields.

Using the characters " & < > in captions or subcaptions in financial pages can corrupt the screen display or create editing errors.

Workaround

Do not use the characters " & < > in entity tags, captions, or subcaptions.

Problem: Character limits in certain fields

SPR

None

Details

The Description field has a limit of 1024 characters. Other fields into which the user can type are limited to 254 or 512 characters.

Workaround

None

Problem: Required input fields not identified

SPR

KBAN5ZARWK

Details

Nearly all the input fields are required, but the error message that appears when one is omitted does not specify the empty field.

Workaround

Since nearly all fields are required, it is more useful to identify the fields that are optional:

Organization Unit

Process

Subprocess

Objective

Risk

Control

Procedure

Problem: Add mode and Edit mode do not disable other portlets

SPR

ZNJN5XTJQF

Details

When the Item detail portlet enters Edit mode, or when the Children List portlet enters Add mode or Attachment Edit mode, the Tree Control portlet (Navigator) or an associated Children List portlet remains active. If you click outside the portlet in which you are adding or editing data, you may lose your edits and have to start over.

Workaround

Save your additions or edits before leaving the portlet in which you are adding or editing data.

Problem: Data loss when adding data to Item Detail Portlet

SPR

XYXU5WR4K5, XYXU5WR49J, BHYI5WHGBC, XYXU5WJV7Q

Details

When you are adding data in an Item Detail Portlet, if you do any of the following, the information you have entered is lost and must be re-entered.

In addition, if you collapse the ancestor (the level above the parent) of the item to which you are adding, the Add mode in the Item Detail Portlet is lost, and you must click the Add button again.

Workaround

Save the data in the Item Detail Portlet before using the Tree Control Portlet or maximizing the Item Detail Portlet. Do not click Add a second time if you have not saved your edits.

Problem: Information loss on moving to another tab

SPR

ZNJN5Y4B2V

Details

If you select an item while editing a subprocess, select a different tab, and then return to the original tab, your original selection will be lost. This is a known problem with "Select Statement" in a subprocess but may also be a problem elsewhere.

Workaround

Finish editing and save any element before navigating away from it.

Problem: Control Catalog table does not update when a new control catalog is added

SPR

ZNJN5X6AHU

Details

When you add a new control catalog through the user interface, the catalog does not appear in the Control Catalog table.

Workaround

Log off and then log on again to refresh the Control Catalog table.

Problem: "Selecting procedures for control evaluation" no longer relevant

SPR

SRON5W4PCG

Details

In the Help for "Items for the Current Selection" on the Evaluation tab, the section "Selecting procedures for control evaluation" should be deleted. The "For Control Evaluation" check boxes no longer appear next to procedures on the Evaluation tab.

Workaround

None

Problem: Evaluation tab: buttons removed

SPR

None

Details

There is an error in the Help for "Items for the Current Selection" on the Evaluation tab. In the section "Adding a procedure" the references to Add objective and Add risk buttons should be removed.

Workaround

None

Problem: Calendar navigation buttons missing on Evaluation tab

SPR

HDLO5ZCBDM

Details

In the calendar display for Next Evaluation Date, the buttons for displaying the previous or next month are missing.

Workaround

Roll the mouse pointer over the blank area to the left of the month. The buttons will appear.

Problem: On Evaluation tab, Next Evaluation Date default is blank

SPR

HDLO5ZCBVM

Details

On the Evaltuation tab, if you open a control and click Control Evaluation, the Next Evaluation Date should default to a date based on Frequency and today's date. The date, however, is blank.

Workaround

None

Problem: "Save as File" works only once

SPR

MMDN5X7BMR

Details

On the Reports tab, when a business unit is selected and Choose Report button is clicked to show reports, the Save as File button will save the report once. A second Save as File has no effect.

Workaround

None. Exiting the Reports tab and re-selecting it may allow saving a report a second time.

Problem: Long category and caption names do not wrap

SPR

BHYI5YEEPR

Details

On the Reports tab, the Linking Matrix report does not wrap long category or caption names within the cells of the matrix.

Workaround

None.

Problem: In the Linking Matrix, the Assertions column may be missing when you switch to the native locale

SPR

KBAN5ZABGB

Details

In the Reports tab, if you select the Linking Matrix report, the Assertions column may have no data.

Workaround

None. The data appear if you switch the browser to US English.

Problem: Added elements not sorted in Navigator view

SPR

HDLO5XEBEX

Details

When adding business units and processes on the Documentation page, the items display in the Navigator in the order in which they were entered; they are not sorted hierarchically by business unit and process.

Workaround

Collapse and expand the parent business unit in the Navigator; this will sort the items under the parent business unit.

Problem: Chinese and Japanese entries do not display correctly in the Navigator

SPR

HDLO5XE3TR

Details

When an item in Chinese or Japanese is added, it displays correctly in the Item Detail portlet and in the Children List portlet, but not in the Tree Control portlet (Navigator).

Workaround

Collapse and expand the nearest parent of the incorrectly displayed items in the Navigator.

Problem: Linking problems with Chinese characters

SPR

KBAN5YBFM2

Details

The links created for some long names for business units in Chinese are not live links. When you click on them, nothing happens. The names are within the byte-count limits, and the problem may have to do with the length of the URL that is created.

Workaround

None

Problem: Incorrect display of Chinese and Japanese characters

SPR

KBAN5YDACU, XXHU5YE9BM, XXHU5YE9H7

Details

Some Traditional Chinese, Simplified Chinese, and Japanese characters do not display correctly when they are not displayed in their own locales. The characters may display as garbage, or they may display as HTML entities.

Workaround

None

Problem: Entries overlap in the Control Matrix display

SPR

HDLO5YUADV

Details

In some languages, the entries in the Control Matrix on the Reports tab may overlap.

Workaround

Install the "MS Arial Unicode" font. This should be the same font you install on your Portal and Crystal server. This font is not supplied by IBM due to licensing issues. Customers can get this from MS Office or other sources as appropriate. It should be installed in the usual fonts directory, typically C:\Winnt\Fonts.

Problem: Navigator view incorrect after adding items

SPR

YCYC5XGGNH, YCYC5XGGBS, HDLO5XJCEE, MMDN5WX2G5

Details

Various anomalies appear in the Navigator (the Tree Control portlet) when (1) searching for items in a Child portlet or Flat List portlet or (2) navigating to items in the My Lists (Flat List) portlet. These include duplication of entries and entries appearing at the wrong hierarchical level.

Workaround

Collapse and expand the nearest parent of the incorrectly displayed items in the Navigator.

Problem: Navigator view incorrect after deleting items

SPR

DSTR5XHFUV, MMDN5YWCWL, MMDN5YWDBD, MMDN5YWDCQ, MMDN5YWDDP, MMDN5YWDES, MMDN5YWDFM, MMDN5YWDGK

Details

Items in the Navigator (the Tree Control portlet) may not refresh when deleted on another tab. The items are also not refreshed in the Children List portlet.

Example 1: If you create a new business unit on the Organization tab, the new business unit is listed correctly in the Tree Control portlet (Navigator) of both the Organization tab and the Documentation tab. However, if you delete the business unit under the Organization tab and click on the Documentation tab, the deleted business unit still appears in the Tree Control portlet for the Documentation tab.

Example 2: If you create a new process on the Documentation tab, go to the Organization tab and delete this new process in the Item Detail portlet, and go back to the Documentation tab, and click on the process in the Tree Control portlet, the process still appears in the Children List portlet.

Workaround

This is a display refresh problem. Collapse and expand the Navigator and the deleted item no longer appears.

Problem: Views incorrect after importing items

SPR

ZHTI5ZMCMF

Details

If you import or add an item (a process, for example) to a business unit, the item may not appear in the Tree View portlet or the Children List portlet.

Workaround

Collapse and expand the parent business unit node in the Tree View to refresh the portlets.

Problem: Items in Children List portlet do not display if deleted and then reentered

SPR

YCYC5ZLEZR

Details

If you delete a risk and then recreate it, the risk appears in the Tree List portlet but not in the Children List portlet. This problem may exist for other elements as well.

Workaround

This is a display refresh problem. Click on the risk and its objective in the Tree List portlet and the Children List portlet will refresh to show the newly added risk.

Problem: Flat list portlet may be missing some information

SPR

KBAN5Z3D5M

Details

In the Flat List portlet (My Lists), the information table under the tabs may be incomplete. My Processes may not display the Documentation Completed column. My Controls may not display the Type column.

Workaround

This is a display problem; the data are not missing. Click another tab, such as the Search tab, and return to My Processes or My Controls. The missing column will display correctly.

Problem: Financial Statement captions may not display properly in the Item Detail portlet of a subprocess

SPR

DWAG5ZBAYW

Details

If you click the Add Subprocess button on the Organization tab, the Item Detail portlet may show some captions not wrapping correctly within their space. Subcaptions may not be properly indented.

Workaround

None

Problem: Tree Control portlet may not show all information

SPR

YCYC5Z6G5T

Details

If you click on a Flat List item immediately after clicking a tab, the Tree Control portlet displays the corresponding information only for the item you chose in the Flat List.

Workaround

This is a display refresh problem. Collapse and expand the tree to display its entire contents,

Problem: Search is case-sensitive

SPR

KBAN5WL2FC

Details

Searches done in LWBCR are case-sensitive.

Workaround

None. The case-sensitivity is a limitation of Content Management. If searches give unexpected results, make them case-sensitive.

Problem: Search does not permit wild cards, operators

SPR

XXHU5WNBRD

Details

In the My Lists (flat list) portlet, the search function does not support wild cards such as * or ?, or operators such as + or -.

Workaround

None

Problem: In Executive view, the controls added number is always zero

SPR

KBAN5XEHD3

Details

When one or more controls are added or removed, the Executive view should show the number added or removed. If the CM server and the portal server do not have the same time and date, however, the number of controls added or removed is reported as zero.

There may also be a problem in how DB2 stores the time stamp.

Workaround

Make sure the CM server and portal server are set for the same time and date.

Problem: In Executive view, Controls display may be confusing

SPR

KBAN5XY5ED

Details

In the Executive view, it is possible for the root business unit to indicate zero for Controls Not Tested, Past Due, or Next 30 Days. If you click on a zero (which is a link), the data for a child business unit is shown.

Workaround

None.

Problem: Reports depending on time stamps do not work correctly

SPR

JHUG5XGP3L

Details

Reports that depend on time stamps will not work properly if the CM server and the portal server have different times and/or are in different time zones. Control creation dates are saved on the CM server as GMT; test dates are saved on the portal server in local time.

Workaround

None. Make sure the CM server and portal server are set to the same time and date.

Problem: Coso Control Components report inconsistent

SPR

YCYC5ZENPR

Details

Manually inputted controls that are neither evaluated nor observed do not show up in a Coso Control Components report. Imported controls that are neither evaluated nor observed do show up in a Coso Control Report.

Workaround

None

Problem: Dates do not display correctly

SPR

ZNJN5YUBW8

Details

Dates entered with the calendar tool do not display in the language chosen for the browser. This problem has been noticed for Chinese and Japanese in the Auditor Observation on the Evaluation tab. It may occur elsewhere.

Workaround

None

Problem: Deletion of items open for editing

SPR

AKAV5TDCDM

Details

With an item in Edit mode, the Delete button should be disabled or not appear. However, the Delete button still appears and can be clicked.

Workaround

If you click the Delete button, a message displays telling you to finish editing the item.

Problem: Misleading notice when deleting an attachment

SPR

DHAS5UHKSQ

Details

When you delete an attachment for a subprocess, a warning message is displayed warning you that subordinate items will also be deleted. There are no subordinate items for attachments.

Workaround

None; click OK to delete the attachment.

Problem: The icon on the Show Audit Trail button is incorrect

SPR

BHYI5WZETS

Details

The icon displayed on the Show Audit Trail button is incorrect.

Workaround

None; the button works correctly.

Problem: Icons on some action buttons do not display

SPR

BHYI5WZFZJ

Details

The icons for some action buttons do not display. These may include Auditor Observation, Control Evaluation, Control Observation, Save as File, and Up.

Workaround

None; the button labels are correct and the buttons function properly.

Problem: Icons on some action buttons are incorrect

SPR

BHYI5X2DEV

Details

Icons for some action buttons are incorrect in the Item Detail Portlet of the Control tab. These may include Control Evaluation, Control Observation, Auditor Observation, and Show Audit Trail.

Workaround

None; the button labels are correct and the buttons function properly.

Problem: Auditors can see Edit and Delete icons on the Financial Documents tab

SPR

YCYC5Y9GDS

Details

Users who are logged on as auditors should not be able to edit or delete items in financial documents. In the lists of financial documents, however, icons for Edit and Delete appear.

Workaround

None

Problem: Audit trail for a deleted child object displays the parent's name

SPR

BHYI5XEGK6

Details

When a child object is deleted and the Show Audit Trail button is clicked, the child name should appear as the Item Name. The parent name displays instead.

Workaround

None

Problem: Audit trail shows duplicate entries when associating captions with subprocesses

SPR

HDLO5ZCDH8

Details

If you associate some captions to a subprocess, view the audit trail, and then associate an additional caption, the audit trail for the first set of associations is duplicated.

Workaround

None

Problem: Deleted financial document items do not appear in the audit trail

SPR

YCYC5XHJ8Q, YCYC5XHJRC, YCYC5XHMKH

Details

If you delete a caption, any subcaptions for that caption are orphaned. This means that you cannot get to them to see them or delete them. The audit trail shows only the deletion of the caption and not the subcaptions.

In a balance sheet, the same problem exists for captions and subcaptions when a category is deleted. The captions and subcaptions for the category are orphaned and cannot then be deleted. They do not appear in the audit trail.

Workaround

Delete the items from the lowest level and work backward through the levels. If you delete in this manner, nothing is orphaned and all deletions show in the audit trail.

Problem: Audit trail entries for children are lost if parent is deleted

SPR

YCYC5XJNTT, YCYC5XJP56, YCYC5XJPBY, MMDN5YFAEF

Details

In all cases the children are orphaned and cannot be displayed or deleted.

Workaround

Delete the items starting at the lowest level and work backward through the levels.

Problem: Audit trail does not show deletion of attachments

SPR

KBAN5XS3QZ

Details

When you delete attachments for a subprocess, the audit trail does not show the deletions.

Workaround

None

Problem: Some audit trail entries may not display links properly

SPR

YCYC5XJQDR, YCYC5XJQLQ

Details

In the audit trail display, a risk associated with an objective, or an objective associated with a risk, may not display the Show Audit Trail button to expand their information.

Workaround

None.

Problem: Audit trail entry for import of Excel file is unreadable

SPR

XYXU5YG629

Details

After you import an Excel file, the import action appears in the audit trail as meaningless text and numbers.

Workaround

None.

Problem: Incorrect values imported from Excel files do not cause an error message

SPR

KBAN5ZBDN4

Details

If you import an Excel file with invalid values for some cells, the invalid values are replaced by default values after importing. The file is imported and "Import Successful" displays. There is no error message.

Workaround

None

Problem: Catalog imported from Excel 2002 file may contain incorrect information

SPR

YCYC5ZLJ9A

Details

Excel 2002 has an auto-complete feature that may prompt for a process name that already exists. After entering a process name and then moving to a new line, if the user enters the same first letter of the process above, Excel will offer the entire process name from the cell above. If the user presses Enter, there will be two identical process names in the two cells.

Workaround

Fully enter the information in each cell and do not accept any prompted text, or use a version of Excel other than 2002.

Problem: Audit history may contain unexpected information

SPR

YCYC5XEDN4

Details

The audit history may contain some information that users don't expect to see. This is because in some cases, data elements are used for purposes that don't exactly match their names.

For example, the audit history for Procedures include information about the SOdescription field, but the contents of that field in the audit history are either the words "Not tested" or are dates. This is because the SOdescription field for Procedures describes when the procedures were logged as being tested, rather than describing the procedures themselves.

Also, the audit history for financial captions may include fields that do not appear in the user interface. This is because the same type of information is stored for both captions and subcaptions -- it is simply that more information is currently filled in for subcaptions than for captions.

Workaround

None.

Problem: Audit trail headings are not translated

SPR

ZNJN5YWA98

Details

Non-variable information in audit trails is not translated and appears only in English.

Workaround

None

Problem: The completion date for a procedure displays as "Not tested"

SPR

YCYC5XFJ92

Details

In the list of procedures for evaluating a control, the completion date displays as "Not tested" if the procedure has not been completed.

Workaround

None.

Problem: Some error messages not translated

SPR

None

Details

Some error message strings were added to cat.properties after the translation deadline.

  1. New:
  2. cat.catalogimport.truncateddata=Data truncated at 512 characters:
    
  3. Modified --cat.catalogimport.invaliddata now reads:
  4. cat.catalogimport.invaliddata=Value does not match valid values on sheet:
    

Workaround

None

Problem: Some reports are translated for Chinese but not Simplified Chinese

SPR

HDLO5YYD6D

Details

Reports for Corporate Structure, Documentation Status, Control Matrix, Ineffective Controls, Observations and Recommendations, Evaluation of Controls, and User Management are translated into Chinese (zh) but not Simplified Chinese (zh_cn).

Workaround

Switch to the zh locale.

Problem: Catalog names cannot exceed 512 characters

SPR

None

Details

When creating spreadsheet catalog data for import into Business Controls and Reporting, an item name cannot exceed the maximum length of 512 characters.

When a spreadsheet is imported and names exceed 512 are found, they will be truncated to 512 and a warning will be shown to the user at the end of the process.

Workaround

Shorten spreadsheet names before importing.

Problem: There is no error checking for field length for some entry fields

SPR

XYXU5YJK39, XYXU5YJK6Y, XYXU5YJL2T, XYXU5YJL72, XYXU5YJL7X, XYXU5YJL8R, XYXU5YJJY6, XYXU5YJJWC, XYXU5YJJKZ, XYXU5YJJHC, XYXU5YJHTM, XYXU5YJHPU, XYXU5YJHZB, XYXU5YJJV7, XYXU5YJHJG, XYXU5YJHMS

Details

Certain entries have length limits. If the limits are exceeded, there is no error message and data may be lost.

Workaround

Observe the following limits:

Evaluation tab

Setup tab

Attachments

Problem: Semicolon in attachment name truncates it

SPR

ZNJN5XTA8M

Details

If you attach a document with a semicolon in its file name, the subsequent display of the file name will be cut off at the semicolon.

Workaround

None. If possible, rename the file and omit the semicolon from the file name before attaching the file.

Problem: Empty attachment name displays as code

SPR

HDLO5YJDDT

Details

If you create an attachment for a procedure, but do not provide a name, the attachment title displays as code for a non-breaking space.

Workaround

Provide a name for the attachment.

Problem: XML file import is not consistent

SPR

KBAN5X7CR3

Details

Excek files imported through the user interface appear in the Control Catalogs list with the Active Catalogs check box selected by default. XML files imported through the XML tools in the Portal server appear in the Control Catalogs list with the Active Catalogs check box cleared by default.

Workaround

None; the check boxes should be selected or cleared manually.

Problem: "Save target as" does not work for attachments

SPR

ZNJN5XT6U6

Details

When using the Attached files and URLs tab for a subprocess, if you right-click on an attached file and select Save target as, the dialog box does not transfer the name of the file to the Save As dialog box. If you attempt to save the file and then open it, it is not the file you saved.

Workaround

Click on the attached file to open it. A new window will open with the file's contents. You can then save it the file from the new window.

Problem: Open and Save operations do not work for executable attachments

SPR

ZNJN5XTDYD

Details

When you click on an executable file attachment for a subprocess, a dialog box displays with the option to open or save the attachment.

If you open the attachment, it displays as a text file.

If you save the attachment, it is saved by default as a text file with a .txt extension.

Workaround

Change the file name in the Save As dialog box to include the .exe extension. The file will be saved as an executable, an it can then be executed from its saved location.

Problem: Nonexistent or empty attachments cause a new window to open

SPR

KBAN5Y395K

Details

If you click on an attachment to open it, and it does not exist or is a text file with no contents, a new Lotus Workplace for Business Controls and Reporting window opens.

An attachment may not exist because it has been deleted or because it was saved with incorrect path or file name information.

Workaround

If the attachment is a file you know to exist, delete the existing attachment and reattach the file using the correct path and file name.

Problem: Saved PDF file may truncate some information

SPR

XXHU5XSBNK

Details

When a report is saved as a PDF file, some information may be truncated. This has happened in the title of a Process Objective.

Workaround

None

Problem: Archive - Import/Export: CM connections not cleared when abnormally terminated

SPR

AJEY5X5Q5U

Details

The Archive application may detect a serious error that prevents the import or export from continuing. Under some conditions, the application does not return control to the Command Prompt after issuing a terminating error message to the console.

Workaround

Enter Ctrl+C to terminate the application.

Problem: Export completion message indicates annual when it should be quarter

SPR

ZNJN5Z7CQ9

Details

After completion of a quarterly archive operation, the completion message indicates that you have performed an annual archive, along with the correct number of the quarter.

Workaround

None

Problem: Some tabs do not work in archive database

SPR

ZNJN5YEEPF

Details

When you are viewing an archive database, the following tabs do not function: My Business Units, My Processes, and My Controls.

Workaround

None. These tabs should not be operational in the archive database. There may be some confusion, however, because they are not dimmed to indicate that they are not selectable.

Copyright

Licensed Materials - Property of IBM

©Copyright IBM Corporation 2003, 2004 All rights reserved.

US Government Users Restricted Rights - Use, duplication or disclosure restricted by GS ADP Schedule Contract with IBM Corp.

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Other company, product, or service names may be trademarks or service marks of others.