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GRC Database Cleanup

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We're using the SOX/IC-database for some years now and over the years, some data dump accumulated, especially in the Title data type. With people turnover and organizational changes, we have now over 200 titles available and there are a couple of similar titles available, like "Senior Accountant" vs. "Sr. Accountant" or "Manager Treasury" vs. "Treasury Manager". As many people are maintaining the controls, the RCM looks messy with various titles being linked  to the same stakeholder for various controls.

We would like to reduce the number of available titles but I am afraid to delete the records as this would destroy the change history.

Has anybody faced this issue before or has a smart idea how to manage this?

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  • Eitan Herman

    Hi Udo,

    The way I ago about it is full alignment between job titles in Workiva to the exact way it is presented in the HR system. It makes it easier to manage (one source of truth) and is a lot "cleaner". If I ask the owner what their job title as part of a walkthrough/inquiry they often describe it different from formal HR title. In addition, sometimes if you ask them at different periods of time, they might even describe it different even though their title/R&R did not change (i.e. Warehouse manager vs. Facility Manager).

    I do not have various titles being linked to the same stakeholder. I assign the stakeholder's name to controls and it is linked to their title which is maintained. I update the titles of the employees as they evolve in the company. If there is a change of control owner/stakeholder non-issue the title is linked and drawn from the person profile which in maintained on an ongoing basis.

    The way I maintain this is I added in the Data --> Person and additional field with Employee ID number. This makes it easier to VLOOKUP the DB to the HR listing. I created a simple report using the report builder. It also assists me in a periodic review to identify and suspend the user account in the case of termination.

    I hope this helps :-)

    I am trying to enhance my global compliance reach with peers. Feel free to send me a Linkedin invitation (search Eitan Herman Stratasys).

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