This document contains the release notes for IBM® Lotus® Workplace for Business Controls and Reporting, Version 2.0.1. 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.
Refer to the IBM Lotus Workplace for Business Controls and Reporting Administrator's Guide for a list of hardware and software requirements.
The following are major areas in which Version 2.0.1 has been improved and certain problems fixed.
Several items are new for the Fixpack version of IBM Lotus Workplace for Business Controls and Reporting.
Follow these links:
The LWBCR installer supports the following upgrade paths:
The V1.1 upgrade path includes updating the data model to add the data objects for archiving, the ACLs and group for Excel catalog importing, and SOratings attribute to SOrisk itemtype and updating the .war file in portal. This path will also invlove upgrading the following software components before envoking the LWBCR 2.0.1 installer:
You will also have to update the stored procedures for reporting using the UpdReps.zip (Windows) or UpdReps.tar (AIX) archive. Please follow the instructions in the UPGRADE.README file packaged in the archive.
The V2.0 upgrade path will include updating the data model to add SOratings to SOrisk and updating the .war file in portal. This path will also invlove upgrading the following software components before envoking the LWBCR 2.0.1 installer:
You will also have to update the stored procedures for reporting using the UpdReps.zip (Windows) or UpdReps.tar (AIX) archive. Please follow the instructions in the UPGRADE.README file packaged in the archive.
The V2.0.1 CM/EIP FP5 upgrade path will include updating the .war file in portal. This path will also invlove upgrading the following software components before envoking the LWBCR 2.0.1 installer:
Fixpacks exist for Content Management and Enterprise Information Portal, which must be installed along with these products.
Contact Customer Support for instructions on obtaining the latest Fixpacks.
Before installing Fixpacks for CM and IEP, you must perform the following steps.
C:\WebSphere\AppServer\bin>stopServer WebSphere_Portal
C:\WebSphere\AppServer\bin>stopServer server1
C:\WebSphere\AppServer\bin>stopServer icmrm
C:\WebSphere\AppServer\bin>stopServer server1
db2 list applications
db2 force applications all
C:\DB2>db2stop force
C:\DB2>db2start
mkdir C:\db2backup
cd C:\db2backup
db2 backup db icmnlsdb
You may now install the Fixpacks according to the instructions downloaded with them.
Overall performance of Lotus Workplace for Business Controls and Reporting can be enhanced by setting several environment variables on the CM server.
Note: These enhancements are available only on CM V8.2 Fixpack 4 and later.
This keyword can be used to improve performance in an environment where there are multiple applications continuously create new ACLs. This keyword tells the Library server to commit as soon as possible during the API call define ACL.
Set this keyword on W2K as a system environment variable.
Follow these steps.
This DB2 registry variable is available if you are using DB2 8.2 fix pack 4 and later. We recommend users to use it to avoid unnecessary locking in CM environment to improve performance and in some cases, avoid deadlock and timeout (error -911).
Set this keyword using db2set command:
db2set DB2_EVALUNCOMMITTED=YES
This DB2 registry environment variable is found to improve CM performance during ACL-related operations such as Create users, user groups, and ACLs. It is recommended to set to NO if your environment is doing these many operations concurrently.
Set this keyword using db2set command:
db2set DB2_HASH_JOIN=NO
After setting these DB2 keywords (DB2_EVALUNCOMMITTED=YES and DB2_HASH_JOIN=NO), you need to restart all DB2 services and check to see these variables are set.
Lotus Workplace for Business Controls and Reporting provides reports for the business structure and financial results, including details on controls that have been marked as effective or ineffective, controls with mitigation, and so on. In v2.0.1 of LWBCR, a new report has been added: User Management. This report, available to administrators only, lists information about users for all business groups.
Access to reports is governed by permissions and access policies for the business.
The Executive view displays graphical information in four quadrants: Overall Control Effectiveness, Control Status, Evaluation Status, and Control with Follow-Up. The upper two quadrants display overview information for the entire organization; the lower two quadrants display information for the business segments or business units.
This quadrant shows a pie chart of evaluation of the controls in the selected Business Segment. The controls are divided into the following four categories and shown based on a 100% scale:
This report is read-only and cannot be drilled into a detail report.
This quadrant displays a bar chart with the following data:
Three lines of data below the chart display the following:
An additional report - Ineffective Controls Report – is displayed when the user drills down to detail report by clicking on the bar chart.
Details of the Control Status reports are available by clicking on the corresponding item in the bar chart.
The percentage completion is derived by the number of controls that were evaluated over the total number of controls within a business unit. The control is evaluated when the effective field has a value of Yes or No in the Evaluation of Control screen.
The user can drill down from Evaluation Status to obtain an Evaluation Status Detail report.
This quadrant displays a grid with the following four columns:
Detail reports are available as follows:
Note: With the exception of the Ineffective Controls report, the above reports include only the items for which Documentation Complete has been indicated.
Scope reports give information about corporate structure, the documentation status of processes, links between financial statements and subprocesses.
This report lists the scope value for each business unit. It encompasses all business units including "aggregated-not important."
This report lists processes and their Documentation Complete status. It lists all processes except those owned in business units classified as "aggregated-not important."
This report lists processes and controls relative to their income statement items, as follows:
This series of reports gives information on the controls, their owners, effectiveness, follow-up information, and observations and recommendations.
This report lists the control information under each process, subprocess, and risk within the selected business unit(s), as follows:
This report lists the control information for each control owner within the selected business unit(s). The report includes all controls (tested and untested) except those for those in Business units that have a value of "aggregated-not important."
This report lists controls that have follow up dates within one or more selected business units, as follows:
For each subprocess, a grid is shown with the following columns:
This report lists ineffective controls within one or more selected business units, as follows:
For each subprocess, a grid is shown with the following columns:
This report lists observations and recommendations for each control within one or more selected business units, as follows:
This report lists the evaluation information for each control within one or more selected business units, as follows:
COSO reports include the COSO Heat Map, the COSO Heat Map Details, and COSO Control Components.
The COSO Heat map provides a graphical depiction of the relationship between the five COSO control components, their effectiveness rating, and impact rating for each selected business unit, as follows:
The color scheme is consistent with the ineffective controls in the Executive view:
This report provides supporting data for the Heat Map report.
This report shows the percentage value or absolute values of controls that are assigned to the control components for each process, as follows:
The report is generated by querying for controls for all processes within a selected business segment.
Business units that receive a value of "aggregated-not important" will not be included.
For each business segment, a grid is shown with the following columns
This report lists information about users for all business units, including group, role, and area. For administrators only.
An Excel template file is provided in the LWBCR installation as a guide to creating and formatting Excel files for importing catalogs into LWBCR. This template contains detailed instructions on its first page regarding the number of columns and their titles, requirements for cell contents, and so on.
When a catalog is being imported from an Excel file, the importing tool reads each line and creates a process, subprocess, objective, risk, and control. When it reads the next line, it checks to see if the process name is the same. If the process name has changed, the importing tool creates a new process. This means that the Excel file should be sorted by process, then subprocess, then objective, then risk, and then control. If this sorting does not take place, the importing tool may create unnecessary duplicates of some of the elements.
Another way to put the sorting requirement is as follows:
All related objects must be grouped together. That is, within a process, all subprocesses of the same name must be consecutive; within a subprocess, all objectives must be consecutive; within an objective, all risks must be consecutive, and within a risk, all controls must be consecutive. The import process must see the records this way to correctly establish the relationships between objects. Duplicates will result if objects are placed out of order in the spreadsheet.
A new Risk Rating column has been added to the template for Excel imports. This allows you to assign a rating value for a given risk. There is also a Control Rating column which is used to indicate the rating value for a control.
This template should be used for all Excel imports to LWBCR v2.0.1. Do not leave this field blank. In the Excel file there should be no cells without data; otherwise there may be some unexpected results in the imported file.
SPR reference: YCYC62DENT
None
An entry field for description has been added to Organization Units and Processes.
None
See these topics:
To execute the installer on Windows 2000, you must do the following:
Make sure the %WAS_HOME% environment variable is set, as follows:
Type set WAS_HOME on the command line.
If %WAS_HOME% is not set, follow these instructions for setting the environment variable:
The Control Panel window opens.
The System Properties"window opens.
The Environment Variables window opens.
In the New System Variable pop-up,
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.
See the following topics.
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:
Start --> Settings --> Control Panel
Add New Programs --> CD or Floppy
The Install Program from....window will open.
The LWBCR install program will start.
The following topics describe the software and hardware requirements and installation steps for Lotus Workplace for Business Controls and Reporting.
The software and hardware requirements for running LWBCR on AIX are as follows.
Operating system and application software:
Suitable hardware:
Operating system and application software:
Suitable hardware:
Operating system and application software:
Suitable hardware:
Application software:
Suitable hardware:
Crystal Enterprise can run on the Content Manager server.
Type echo ${WAS_HOME} on the command line.
If ${WAS_HOME} is not set, follow these instructions for setting the environment variable:
On the command line, execute the following command:
export WAS_HOME=[was-home-path]
Where: [was-home-path] will look similar to "/usr/WebSphere/AppServer"
Follow these steps.
#./AixInstall.bin
See these topics for configuring Lotus Workplace for Business Controls and Reporting.
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.
antCaller.bat createBase (for Windows)
./antCaller.sh createBase (for AIX)
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.
The following is a typical output when running the createBase command. The error: User group does not exist[Name==1088576067531223_R_OU] is a contition that is exposed with EIP FP 5 for determining whether the item level group listed exists before it is created.
[java] com.ibm.mm.sdk.common.DKNotExistException: DGL3820A: User group does
not exist[Name==1088576067531223_R_OU]
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.listRetrieveUserGroups(
PUserMgmtImpICM.java:3582)
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.retrieveUserGroupDef(PU
serMgmtImpICM.java:3399)
[java] at com.ibm.mm.sdk.common.DKUserMgmtICM.retrieveUserGroupDef(DKUs
erMgmtICM.java:1418)
[java] at com.ibm.cmsol.CMXMLSecurity._createUserGroup(CMXMLSecurity.ja
va:3865)
[java] at com.ibm.cmsol.CMXMLSecurity.createGroupsForItem(CMXMLSecurity
.java:3548)
[java] at com.ibm.cmsol.CMXMLSecurity.setSecurity(CMXMLSecurity.java:42
4)
[java] at com.ibm.cmsol.CMXMLCreate.addGroupsToItem(CMXMLCreate.java:48
3)
[java] at com.ibm.cmsol.CMXMLCreate.setSecurity(CMXMLCreate.java:124)
[java] at com.ibm.cmsol.CMXMLParsing.getNodeList(CMXMLParsing.java:178)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:53)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:71)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:594)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:708)
[java] at com.ibm.cmsol.CreateTopLevel.main(CreateTopLevel.java:62)
[java] com.ibm.mm.sdk.common.DKNotExistException: DGL3820A: User group does
not exist[Name==1088576067531223_U_OU]
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.listRetrieveUserGroups(
PUserMgmtImpICM.java:3582)
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.retrieveUserGroupDef(PU
serMgmtImpICM.java:3399)
[java] at com.ibm.mm.sdk.common.DKUserMgmtICM.retrieveUserGroupDef(DKUs
erMgmtICM.java:1418)
[java] at com.ibm.cmsol.CMXMLSecurity._createUserGroup(CMXMLSecurity.ja
va:3865)
[java] at com.ibm.cmsol.CMXMLSecurity.createGroupsForItem(CMXMLSecurity
.java:3552)
[java] at com.ibm.cmsol.CMXMLSecurity.setSecurity(CMXMLSecurity.java:42
4)
[java] at com.ibm.cmsol.CMXMLCreate.addGroupsToItem(CMXMLCreate.java:48
3)
[java] at com.ibm.cmsol.CMXMLCreate.setSecurity(CMXMLCreate.java:124)
[java] at com.ibm.cmsol.CMXMLParsing.getNodeList(CMXMLParsing.java:178)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:53)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:71)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:594)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:708)
[java] at com.ibm.cmsol.CreateTopLevel.main(CreateTopLevel.java:62)
[java] com.ibm.mm.sdk.common.DKNotExistException: DGL3820A: User group does
not exist[Name==1088576067531223_M_OU]
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.listRetrieveUserGroups(
PUserMgmtImpICM.java:3582)
[java] at com.ibm.mm.sdk.server.PUserMgmtImpICM.retrieveUserGroupDef(PU
serMgmtImpICM.java:3399)
[java] at com.ibm.mm.sdk.common.DKUserMgmtICM.retrieveUserGroupDef(DKUs
erMgmtICM.java:1418)
[java] at com.ibm.cmsol.CMXMLSecurity._createUserGroup(CMXMLSecurity.ja
va:3865)
[java] at com.ibm.cmsol.CMXMLSecurity.createGroupsForItem(CMXMLSecurity
.java:3556)
[java] at com.ibm.cmsol.CMXMLSecurity.setSecurity(CMXMLSecurity.java:42
4)
[java] at com.ibm.cmsol.CMXMLCreate.addGroupsToItem(CMXMLCreate.java:48
3)
[java] at com.ibm.cmsol.CMXMLCreate.setSecurity(CMXMLCreate.java:124)
[java] at com.ibm.cmsol.CMXMLParsing.getNodeList(CMXMLParsing.java:178)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:53)
[java] at com.ibm.cmsol.CMXMLParsing.create(CMXMLParsing.java:71)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:594)
[java] at com.ibm.cmsol.CMXML.create(CMXML.java:708)
[java] at com.ibm.cmsol.CreateTopLevel.main(CreateTopLevel.java:62)
[java] Create output:
[java] <?xml version="1.0" encoding="UTF-8"?>
[java] <CATML xmlns:cm="http://www.ibm.com/data/cm"><SOorg_unit SOdescripti
on="" SOname="IBM" SOowner="wpsadmin"
[java] SOrationale="Rationale1" SOscope="Aggregated - Important" cm:PID="
90 3 ICM8 icmnlsdb10 SOorg_unit59 26 A1001001A04G03A61330G2792418 A04G03A61330G2
79241 14 1145">
[java] <SOUpdateItem authorized="Yes"/>
[java] </SOorg_unit>
[java] </CATML>
If the following XML output is displayed, then the top level Business Unit was created successfully:
[java] <?xml version="1.0" encoding="UTF-8"?>
[java] <CATML xmlns:cm="http://www.ibm.com/data/cm"><SOorg_unit SOdescripti
on="" SOname="IBM" SOowner="wpsadmin"
[java] SOrationale="Rationale1" SOscope="Aggregated - Important" cm:PID="
90 3 ICM8 icmnlsdb10 SOorg_unit59 26 A1001001A04G03A61330G2792418 A04G03A61330G2
79241 14 1145">
[java] <SOUpdateItem authorized="Yes"/>
[java] </SOorg_unit>
[java] </CATML>
You may also see similar errors in the install log.txt log file for the SOX groups (SOXUpdaterGroup, SOXCatImportGroup, etc) when creating the data model. These errors are expected as well.
LWBCR version 2 has several Groups defined within Content Manager. This section describes the use and purpose of each group.
This group contain the users who are acting as auditors.
This group contains the users who are authorized to update financial captions.
This group contains the users who are authorized to import external catalogs, either using the command-line catalog import utility to import XML-based catalogs, or using the user interface to import Excel-based catalogs.
This group contains the users who are eligible to take part in the normal operation of the LWBCR application. Users in SOXDefUpdaterGroup can be assigned to be owners or delegates of Business Units, Processes or Controls.
This group contains the users who should have read access to absolutely everything in the system.
As an example, here are some typical types of users, and the groups they should be assigned to.
Normal users should only be assigned to the SOXDefUpdaterGroup. These users are eligible to be assigned ownership or delegate rights to Business Units, Processes or Controls.
Auditors should be given read access to everything in the system; thus, they need to be added to the SOXUnivReadGroup. They also need to be allowed to update Auditor Observations; thus, they need to be added to the SOXAuditorGroup.
The users who are responsible for updating the financial captions must be in the SOXCaptionUpdaterGroup. If the user should not be eligible to own or have delegate authority to Business Units, Processes or Controls, then the user should NOT be added to the SOXDefUpdaterGroup. If the user should be eligible for such authority, then the user should be added to the SOXDefUpdaterGroup.
Users who have the authority to add new catalogs to LWBCR need to be assigned to both the SOXCatImportGroup and the SOXDefUpdaterGroup.
Finally, here are some of the symptoms of users NOT being assigned to the different groups:
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.
Important: Do not add ICMADMIN or ICMCONT to any of these groups.
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.
java com.ibm.cmsol.CreateSOXCatImportSec <database> <admin_userid> <admin_password>
Follow these steps to import a catalog.
Issue the following command:
set classpath=%CLASSPATH%;<LWBCR_INST>\lib\cmsol.jar.
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])
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
On the Content Manager server:
Set the environment variable for the C++ compiler as follows:
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.
For AIX
Run the following command:
./home/db2inst1/.profile
InstReps <db_alias> <userid> <password> <db_schema> (Windows)
./InstReps.sh <db_alias> <userid> <password> <db_schema> (AIX)
Where:
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.
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.
If you have already installed LWBCR V2 in English and are now upgrading to a language other than English, follow these steps.
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.
In LWBCR 2.0, the default database driver used by reports is ODBC, but there are some reports cannot display correctly if using ODBC driver on AIX for Crystal. This is third party issue.
To make all reports run successfully on AIX, the solution is to install both the ODBC and DB2_Unicode drivers, and use DB2_Unicode driver for all reports.
Follow these links:
Follow these steps.
http://www.businessobjects.com/products/downloadcenter/ceprofessional.asp#Data_Drivers
$gunzip -f installodbcdriversv10aix_en.tar.gz
$tar -xvf installodbcdriversv10aix_en.tar
$./installodbcdriversv10aix_en.sh
The configuration file of the ODBC driver is odbc.ini; it should be under Crystal HOME directory.
Follow these steps.
See the example below.
[ODBC Data Sources]
ICMNLSDB=IBM DB2 ODBC Driver for AIX
[ICMNLSDB]
QEWSD=38106
Driver=/home/crystal/aix_rs6000/crystal/enterprise/aix_rs6000/odbc/lib/CRdb219.so
Description=DataDirect 4.21 DB2 Wire Protocol Driver
AddStringToCreateTable=
AlternateID=
Collection=
Database=ICMNLSDB
DynamicSections=100
GrantAuthid=PUBLIC
GrantExecute=1
IpAddress=soxaix02.lotus.com
IsolationLevel=CURSOR_STABILITY
Location=
LogonID=
Password=
Package=DDODBC
PackageOwner=
TcpPort=50000
WithHold=1
[ODBC]
Trace=1
TraceFile=odbctrace.out
TraceDll=/home/crystal/aix_rs6000/crystal/enterprise/aix_rs6000/odbc/lib/odbctrac.so
InstallDir=/home/crystal/aix_rs6000/crystal/enterprise/aix_rs6000/odbc
ODBCINI tells the system where odbc.ini is:
$Export ODBCINI=/home/crystal/aix_rs6000/crystal/odbc.ini
$Export LIBPATH=$LIBPATH:/home/crystal/aix_rs6000/crystal/enterprise/aix_rs6000/odbc/lib/CRdb2219.so
$./bind19 ICMNLSDB
If there is no error message, the installation was successful.
To test the ODBC driver, you can use demoodbc to connect to the data source.
Follow these steps.
$./demoodbc -uid <username> -pwd <password> <data source>
Now preview the report, as follows:
Follow these steps.
http://www.businessobjects.com/products/downloadcenter/ceprofessional.asp#Data_Drivers
$./installnewdriversv10aix_en.sh
LWPBCR supports multiple languages for reports. When you install the product for the first time, there are only meta reports in the Crystal server, and no reports for languages.
To see reports for all languages, follow these steps.
All the reports in your language code will be created on the Crystal server. The reports appended with the language code now have to be modified in the Crystal server. Follow these steps.
Follow these steps.
If the report can display correctly, the DB2_Unicode driver is installed successfully.
Follow these steps.
Examine the path of your JRE to determine where your java.security file is. When running the Archive utility from a EIP development window on Windows, your JRE path should be %CMBROOT%\jdk\jre
If you are not running from an EIP development window, you should look at your path variable and determine which directory the Java runtime (JRE) is in. For some, this might look something like this:
C:\Program Files\IBM\Java131\jre
The java.security file will be in <JRE path>\lib\security. In the example above the full path would be
C:\Program Files\IBM\Java131\jre\lib\security\java.security (or %CMBROOT%\jdk\jre\lib\security\java.security when running from an EIP development window)
Specify the following in your java.security file:
security.provider.1=sun.security.provider.Sun (This should already be there.)
security.provider.2=com.ibm.crypto.provider.IBMJCE
Note that the IBM JCE provider must be placed after the default Sun JCA provider that is available with the JRE.
Note: security.provider.2=com.ibm.crypto.provider.IBMJCA may be listed in the security file. It needs to be IBMJCE.
Check your CLASSPATH and Java extensions directory for the file ibmjcaprovider.jar. This file must be removed from both your CLASSPATH and Java extensions directory. The file can not just be renamed; it must be removed. If it is not removed, then errors such as "The JCE provider can not be accessed" may result.
Follow the steps above, with the enhancement to the first step and a new step (below)
Enhancement:
Select Project-Properties-Java Build Path - Libraries tab and look for JRE System Library or a variable like JRE_LIB. Further detail on this entry should show you the path of rt.jar, etc.
New step:
Add the 5 external jars to your java build path
C:\CMBROOT\jdk\jre\lib\ext\ibmjceprovider.jar
C:\CMBROOT\jdk\jre\lib\ext\ibmjcefw.jar
C:\CMBROOT\jdk\jre\lib\ext\local_policy.jar
C:\CMBROOT\jdk\jre\lib\ext\US_export_policy.jar
C:\CMBROOT\jdk\jre\lib\ext\ibmpkcs.jar
If you are not configured correctly, you will see exceptions with a message such as "Cannot install provider: IBMJCE". Keep in mind that the JCE code is searching for the first java.security file in your PATH.This must be modified according to the directions above. If you are having problems resolving the JCE jar files (the 5 listed above), it is probably not finding them in your CLASSPATH. More information can be found in the IBM Java(TM) Cryptography Extension V1.2.1 README.
Since the documentation for archiving was finalized, further information has become available. This information has to do with the following topics:
Setting up and exporting a Business Controls and Reporting database to an archive involves three operations.
This is one of the procedures you must follow to export data to an archive.
Follow these steps.
Where:
%CMBROOT% is the location of the EIP installation (Ex: C:\CMBROOT).
%WAS_HOME% is the location of the WAS installation (Ex: C:\WebSphere\AppServer)
security.provider.1=sun.security.provider.Sun
Security.provider.2=com.ibm.crypto.provider.IBMJCE
Note: Security.provider.2=com.ibm.crypto.provider.IBMJCA may be listed in the security file. It needs to be changed to IBMJCE.
This is one of the procedures you must follow to export data to an archive.
Follow these steps.
C:\LWBCR201 - This will store the resource files.
C:\LWBCR201\archive - This will store the archived LWBCR data.
C:\LWBCR201\lib - This will store the cmsol.jar.
(Ex: C:\WebSphere\PortalServer\installedApps\bcr_PA_1_0_P1.ear\bcr.war\WEB-INF\lib)
This is one of the procedures you must follow to export data to an archive.
Note: For tasks to be completed by other people using or administering LWBCR, see the original documentation in the Information Center that is delivered with the product.
Follow these steps.
Execute the following:
set WAS_HOME
set WAS_HOME=[WAS-HOME]
Where [WAS-HOME] is the WAS install location determined in Step 1 of the Updating the EIP JCE and WAS JCE settings on the Content Manager server topic above.
Execute the following command to begin a script:
setSoxEnv.bat C:\LWBCR201\lib\cmsol.jar
The script will continue.
Execute the following command:
set CLASSPATH=%CLASSPATH%;%CMBROOT%\jdk\jre\lib\ext\IBMJCEprovider.jar;
%CMBROOT%\jdk\jre\lib\ext\IBMJCEfw.jar;
%CMBROOT%\jdk\jre\lib\ext\local_policy.jar;
%CMBROOT%\jdk\jre\lib\ext\US_export_policy.jar;
%CMBROOT%\jdk\jre\lib\ext\ibmpkcs.jar
Note: The command line is broken into short lines for display purposes. It should be entered as a single line without spaces or line breaks.
%CMBROOT% is the location of the EIP installation (Ex: C:\CMBROOT).
Note: You may need to scroll to the right to see the entire command line as it is presented below.
Tip: To see a list of all parameters, issue the command with the single parameter -help.
java com.ibm.cmsol.archive.Archive -action export -Pserver <server name> -Pusername <user name> -Ppassword <password> -path C:\LWBCR201\archive [-maxFileSize <size>] [-maxBufSize <size>] -publicKey <key> [-annual <y/n>]
The parameters are as follows:
server name = name of the CM library server hosting LWBCR
user name = the admin userID for Pserver
password = admin password for Pusername
dir = directory where files will be written to; it will be created by archive utility if it doesn't exist
size = maximum file size in MB (1,000,000 bytes) of exported files; default = 640MB
size = maximum buffer size in KB (1,000 bytes); default = 9999KB
key = public key for encrypting the archive file. The key length has to be 8 characters long.
y/n = whether the archive is the annual archive; default = 'n'
The archive utility exports the information from the LWBCR production database, encrypting and writing the data to secure files.
Encryption of archive files was not implemented in the first Version 2 release of IBM Lotus Workplace for Business Controls and Reporting.
As of Version 2.0.1, encryption is turned on.
References to encryption and decryption in the Archiving section of the Administrator's Info Center now apply to Version 2.0.1 and later.
The -publicKey parameter in the Content Manager command line can now be used.
Note: The following command line parameters can be used in LWBCR 2.0.1.
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
Follow these steps to switch between the production and archive databases.
Follow these steps.
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.
Follow these steps on the Content Manager Server.
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
InstReps <db_alias> <userid> <password> <db_schema>
Where:
The following notes identify known problems and limitations in the IBM Lotus Workplace for Business Controls and Reporting.
SGOU62EDNG
With a very large database (over 200MB) and 200 or more users trying to view reports simultaneously, the HTTP server can crash.
None
HMEY63M6MK
If the LTPA token expires while a user is working on the Documentation tab, any updates to items will not take place. The only indication to the user that the LTPA token has expired is that the user will receive a logon prompt when navigating to an item.
None
ZNJN5ZE9EA
Creation of the top level Business Unit will proceed to the end and report success, even if creation of the top level fails.
None
KBAN62J684
The top level owner must be assigned to both the SOXDefUpdaterGroup and the SOXCaptionUpdaterGroup in order to enter or modify the Reporting Year date, End Date, or Close Date on the Setup tab. If a top level owner is not a member of both groups, there is no prompt or error message indicating that the date will not be saved.
Make sure the top level owner is assigned to both groups.
ZNJN5YAGTT
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.
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.
BHYI62A5NG
On the Edit Setup page of the Setup tab, it is possible to add and save the End and Close dates in an incorrect format, including any descriptive text, without generating an error message.
Be sure to enter dates in a valid format for your locale, or use the calendar item in the user interface.
ZNJN5XABRX
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.
None. The portal administrator should make sure that the correct users and groups have access.
JSCA5X4N78
As delivered, the portlet header titles are generic. They can be customized for specific uses in LWBCR. Following are some suggestions.
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.
AKAV5SLFNY
A second risk is added with the same name.
Delete the second risk.
AKAV5SLGU6
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.
Do not create objectives with empty names or names with only spaces.
KBAN5VZG2J
It is possible to delete yourself as an owner or delegate, without receiving a warning or confirmation prompt.
None
YCYC5Z5JGW
Under some circumstances, a new business unit name will be lost. One scenario:
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..
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.
AKAV5SRDJZ
A duplicate of the business unit is created every time you reload the browser.
Delete the extra business unit.
ZNJN5ZDG75, KBAN5ZAB3S, HDLO5ZNGSU, HDLO5ZLB7X
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.
Do not create elements with the same name.
BHYI5ZNCMC
The COSO Control Components report will not return the correct number of controls if there is more than one control with the same component type, per business unit, per effectiveness rating.
None
YCYC62C982
If you create two business units with identical naming structures for the children from process through procedure, and the two subprocess associate with same financial document, then the second business unit together with the process, subprocess and risk information will not display in the Linking Matrix. Only Control and its Assertion field value of the second business unit shows in the report.
Do not create identical structures under separate business units.
HDLO62B6T5
Both key and non-key controls are displayed in the following reports:
None
KBAN62JHRX
To display only the key controls on the Evaluation tab, it is necessary to enter certain portlet parameters manually.
Add the following portlet parameter to these portlets: BCR - FlatList, BCR - TreeList, and Evaluation - ChildrenList:
param = ShowAllControlsForEval, value = false
AKAV5SRH4U
A duplicate of the process is created every time you reload the browser.
Delete the extra process.
MMDN6294NA, MMDN6294WV, MMDN6294WW, MMDN6294WU
The Item Detail portlet will not refresh to show the correct Edit window.
None
VFEG5SLR5P, XXHU63ABEP
It is possible for more than one owner or delegate be logged on at one time and work on the same items.
When this happens, the last user's changes are saved and the previous user's changes are lost.
Do not allow more than one owner or delegate to work on the application at the same time.
JEHG5WZ9KF
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.
None; be careful to import XML-format catalogs only once.
FBAY5XCMD9
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.
None
KBAN5YFHFM, KBAN5YGAF5, BHYI5YFFL9, and others
The Unicode Driver is needed for the AIX installation of Crystal Reports.
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.
AKAV5STJ5K, SSHT5W4RQS
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.
Do not use the characters " & < > in entity tags, captions, or subcaptions.
KBAN5ZARWK
Nearly all the input fields are required, but the error message that appears when one is omitted does not specify the empty field.
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
ZNJN5XTJQF
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.
Save your additions or edits before leaving the portlet in which you are adding or editing data.
XYXU5WR4K5, XYXU5WR49J, BHYI5WHGBC, XYXU5WJV7Q
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.
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.
ZNJN5Y4B2V
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.
Finish editing and save any element before navigating away from it.
ZNJN5X6AHU
When you add a new control catalog through the user interface, the catalog does not appear in the Control Catalog table.
Log off and then log on again to refresh the Control Catalog table.
SRON5W4PCG
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.
None
None
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.
None
HDLO5ZCBDM
In the calendar display for Next Evaluation Date, the buttons for displaying the previous or next month are missing.
Roll the mouse pointer over the blank area to the left of the month. The buttons will appear.
HDLO5ZCBVM
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.
None
MMDN5X7BMR
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.
None. Exiting the Reports tab and re-selecting it may allow saving a report a second time.
BHYI5YEEPR
On the Reports tab, the Linking Matrix report does not wrap long category or caption names within the cells of the matrix.
None.
KBAN5ZABGB
In the Reports tab, if you select the Linking Matrix report, the Assertions column may have no data.
None. The data appear if you switch the browser to US English.
HDLO5XEBEX
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.
Collapse and expand the parent business unit in the Navigator; this will sort the items under the parent business unit.
HDLO5XE3TR
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).
Collapse and expand the nearest parent of the incorrectly displayed items in the Navigator.
HDLO5YEA2M
Even when Internet Explorer is set to the local language, the calendar (for instance, in evaluating a control) displays the days in English. This has happened in Chinese, and may happen in other languages.
None
ZNJN62EGZ7
The problem appears after following these steps:
The page title can't display.
None
KBAN5YBFM2
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.
None
KBAN5YDACU, XXHU5YE9BM, XXHU5YE9H7
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.
None
HDLO5YUADV
In some languages, the entries in the Control Matrix on the Reports tab may overlap.
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.
YCYC5XGGNH, YCYC5XGGBS, HDLO5XJCEE, MMDN5WX2G5
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.
Collapse and expand the nearest parent of the incorrectly displayed items in the Navigator.
DSTR5XHFUV, MMDN5YWCWL, MMDN5YWDBD, MMDN5YWDCQ, MMDN5YWDDP, MMDN5YWDES, MMDN5YWDFM, MMDN5YWDGK
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.
This is a display refresh problem. Collapse and expand the Navigator and the deleted item no longer appears.
XXHU635AZT
When there are more than one objective under a subprocess, if you delete a risk, control, or procedure on the Tree List portlet, other instances of that item under other objectives will still display.
This is a refresh problem. Log off and on, or simply collapse and expand the tree. Then all instances of the deleted item will be reflected.
ZHTI5ZMCMF, XXHU635CDW
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.
Collapse and expand the parent business unit node in the Tree View to refresh the portlets.
YCYC5ZLEZR
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.
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.
YCYC634JZB
An item added in the Tree Control portlet may not appear properly in the corresponding Item Detail portlet.
The Item Detail portlet displays information that is not relevant to this operation. It may show owners and delegats, for example.
Click any other item in the Tree Control portlet. The Item Detail portlet will then refresh to show the correct information.
KBAN5Z3D5M
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.
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.
KBAN628C4R
If a Flat List portlet displays more than ten items, it may be divided into two or more pages. If you navigate to the pages after the first one, the items may not display correctly.
Someone with access rights in the Workplace to Manage Portlets can change the Flat List portlet settings. The parameter beanType should have the value Process.
DWAG5ZBAYW
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.
None
YCYC5Z6G5T
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.
This is a display refresh problem. Collapse and expand the tree to display its entire contents,
KBAN5WL2FC
Searches done in LWBCR are case-sensitive.
None. The case-sensitivity is a limitation of Content Management. If searches give unexpected results, make them case-sensitive.
XXHU5WNBRD
In the My Lists (flat list) portlet, the search function does not support wild cards such as * or ?, or operators such as + or -.
None
KBAN5XEHD3
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.
Make sure the CM server and portal server are set for the same time and date.
KBAN5XY5ED
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.
None.
JHUG5XGP3L
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.
None. Make sure the CM server and portal server are set to the same time and date.
YCYC5ZENPR
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.
None
ZNJN5YUBW8
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.
None
AKAV5TDCDM
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.
If you click the Delete button, a message displays telling you to finish editing the item.
DHAS5UHKSQ
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.
None; click OK to delete the attachment.
BHYI5WZETS
The icon displayed on the Show Audit Trail button is incorrect.
None; the button works correctly.
BHYI5WZFZJ
The icons for some action buttons do not display. These may include Auditor Observation, Control Evaluation, Control Observation, Save as File, and Up.
None; the button labels are correct and the buttons function properly.
BHYI5X2DEV
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.
None; the button labels are correct and the buttons function properly.
YCYC5Y9GDS
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.
None
KBAN63SEBA
If a user is logged on as an auditor and selects the Documentation tab first, and then the Evaluation tab, two things happen:
If the auditor clicks Auditor Observation for a control, the resulting page does not permit editing, and there is no OK button.
If the auditor clicks Control Observation or Control Evaluation, the resulting page contains an OK button, but any changes to the page are not saved.
Auditors should not select the Documentation tab before selecting the Evaluation tab.
BHYI5XEGK6
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.
None
KBAN636CX3
If you delete a process that is marked Yes for Documentation Complete, its subprocess may still display in the audit trail.
None
MMDN62FB9K, KBAN635K65
If a user attempts to delete an unauthorized object, for example, a caption or subcaption in a financial report, the audit trail will show the object as deleted.
Although the Audit trail reflects the user's action, no deletion has actually taken place. Audit trails are incorrectly recording deletion. Although the deletion was submitted to the database, it was not executed.
None
KBAN62BLFV
If you delete an item and display its audit trail, and then collapse or expand the Tree List portlet, the audit trail for the deleted item will still display in the Item Detail portlet.
None
XXHU626C3W, XXHU626CF2
Some unwanted fields display in the audit trail when adding a process or deleting a business unit.
After adding a process, the audit trail shows the field SOstatic_cat. This should not appear.
After deleting a child of a business unit, the audit trail for the deleted business unit shows the field SOname. This should not appear.
None
HDLO5ZCDH8
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.
None
XXHU639DR7
If you delete a business unit under the main business unit and then refresh the view using the browser's refresh icon, the audit trail will not show the deletion correctly.
Do not use the browser control to refresh the pages. The application refreshes its display when you perform some other action within the application.
YCYC5XHJ8Q, YCYC5XHJRC, YCYC5XHMKH
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.
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.
YCYC5XJNTT, YCYC5XJP56, YCYC5XJPBY, MMDN5YFAEF, XXHU62A4YY, XXHU62BAEV, XXHU62BAFQ, XXHU62BAPW, XXHU62BCVJ, XYXU62B3JD, XYXU62B3V6, XYXU62B3X6, XYXU62B3YC, DSTR63A9DU
Several other instances have been noted for other entries; see the SPR reports above.
In all cases the children are orphaned and cannot be displayed or deleted.
Delete the items starting at the lowest level and work backward through the levels.
YCYC5XJQDR, YCYC5XJQLQ
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.
None.
XYXU5YG629
After you import an Excel file, the import action appears in the audit trail as meaningless text and numbers.
None
KBAN5ZBDN4
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.
None
KBAN62CCV5, KBAN62CCFQ
The labels for "Test Complete" in the Evaluation of Controls report and "Effective" the Control Matrix report may be confusing. They may also seem inconsistent depending on whether a control was entered manually or imported.
The reports "Evaluation of Controls" and "Control Matrix" will display three possible values for the "Effective" or "Test Completed" columns: YES, NO, NONE, or FALSE.
For imported or manually entered controls, the following labels are the same.
The discrepancy is as follows:
The displayed values for YES, NO, FALSE, and NONE will be the translated values for the user's locale.
None
YCYC5ZLJ9A
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.
Fully enter the information in each cell and do not accept any prompted text, or use a version of Excel other than 2002.
YCYC5XEDN4
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.
None.
ZNJN5YWA98
Non-variable information in audit trails is not translated and appears only in English.
None
YCYC5XFJ92
In the list of procedures for evaluating a control, the completion date displays as "Not tested" if the procedure has not been completed.
None.
None
Some error message strings were added to cat.properties after the translation deadline.
cat.catalogimport.truncateddata=Data truncated at 512 characters:
cat.catalogimport.invaliddata=Value does not match valid values on sheet:
None
HDLO5YYD6D
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).
Switch to the zh locale.
None
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.
Shorten spreadsheet names before importing.
XYXU5YJK39, XYXU5YJK6Y, XYXU5YJL2T, XYXU5YJL72, XYXU5YJL7X, XYXU5YJL8R, XYXU5YJJY6, XYXU5YJJWC, XYXU5YJJKZ, XYXU5YJJHC, XYXU5YJHTM, XYXU5YJHPU, XYXU5YJHZB, XYXU5YJJV7, XYXU5YJHJG, XYXU5YJHMS, XXHU634B9K, DHAS63WJYZ
Certain entries have length limits. If the limits are exceeded, there is no error message and data may be lost.
Observe the following limits:
Evaluation tab
Setup tab
Attachments
ZNJN5XTA8M
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.
None. If possible, rename the file and omit the semicolon from the file name before attaching the file.
HDLO5YJDDT
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.
Provide a name for the attachment.
KBAN5X7CR3
Excel 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.
None; the check boxes should be selected or cleared manually.
ZNJN5XT6U6
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.
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.
ZNJN5XTDYD
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.
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.
KBAN5Y395K
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.
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.
XXHU5XSBNK
When a report is saved as a PDF file, some information may be truncated. This has happened in the title of a Process Objective.
None
AJEY5X5Q5U
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.
Enter Ctrl+C to terminate the application.
ZNJN5Z7CQ9
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.
None
ZNJN5YEEPF
When you are viewing an archive database, the following tabs do not function: My Business Units, My Processes, and My Controls.
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.
BHYI62BD38
After finishing an archiving operation, the following buttons appear in the Item Detail portlet for a control: Control Evaluation, Control Observation, Auditor Observation. These buttons should not appear.
Do not use these buttons after archiving.
ZNJN62CCQD
After archiving, the dates and contents of the Controls Added report do not match the data in the production database.
None
JEHG62BCFX
After a quarterly archive, the last record in the audit trail is missing from the archive database.
None
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