<Partner Name> RSA ARCHER GRC Platform Implementation Guide. Wolters Kluwer Regulatory Data Feeds. <Partner Product>

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1 <Partner Name> <Partner Product> RSA ARCHER GRC Platform Implementation Guide Wolters Kluwer Regulatory Data Feeds Jeffrey Carlson, RSA Partner Engineering Last Modified: May 11 th, 2018

2 Solution Summary Wolters Kluwer is a provider of actionable regulatory content that is purpose-built to work with regulatory change management solutions. This integration provides RSA Archer customers with the ability to accept daily feeds from Wolters Kluwer in support of their regulatory change management program and overall compliance initiatives. There are two aspects to the Wolters Kluwer content that will be made available in RSA Archer via XML feeds: the Regulatory Library feed and the Regulatory Update feed. The Regulatory Library feed will populate an RSA Archer on-demand application (ODA) called Wolters Kluwer Regulatory Library. It is a leveled application with 5 levels mirroring the Wolters Kluwer data structure: The Regulatory Update feed will populate the RSA Archer core application of Regulatory Intelligence Items. Specific details delivered by Wolters Kluwer are placed in a separate section of the application that is tied to an Apply Conditional Layout data driven event. When the Source field is set to Wolters Kluwer (as it will be on import), the Wolters Kluwer Information section will be displayed. Partner Integration Overview RSA Archer Solution RSA Archer Use Case RSA Archer Applications Uses Custom Application Requires On-Demand License Yes (2) Regulatory & Corporate Compliance Management Corporate Obligations Management Regulatory Intelligence Items Yes, Wolters Kluwer Regulatory Library, Wolters Kluwer Rule Relationships

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4 Partner Product Configuration Before You Begin This section provides instructions for configuring the Wolters Kluwer with the RSA Archer GRC Platform. This document is not intended to suggest optimum installations or configurations. It is assumed that the reader has both working knowledge of all products involved, and the ability to perform the tasks outlined in this section. Administrators should have access to the product documentation for all products in order to install the required components. All Wolters Kluwer components must be properly licensed prior to the integration. Perform the necessary tests to confirm that this is true before proceeding. Important: The integration described in this guide is being provided as a reference implementation for evaluation and testing purposes. It may or may not meet the needs and use cases for your organization. If additional customizations or enhancements are needed, it is recommended that customers contact RSA Professional Services for assistance. Wolters Kluwer Regulatory Intelligence Prerequisites When clients license the Wolters Kluwer Regulatory Data Feed product, clients will receive an with four pieces of information which are later used to activate the data feed ingestion in to their respective RSA Archer instance: 1. ClientCode 2. ValidationKey 3. The URL location of the Regulatory Rules Library Data Feed API 4. The URL location of the Regulatory Changes/Updates Data Feed API The ClientCode and ValidationKey should be used for both the Regulatory Developments API and the Regulatory Library API. Place the initial regulatory library data files provided by Wolters Kluwer in a file path that the data feed service can access. Note: If you do not have access to the initial library files, contact the following address: CPM-Sales@wolterskluwer.com

5 RSA Archer GRC Configuration RSA Archer GRC Prerequisites In order to configure the RSA Archer Platform, you must first download the following components from the RSA Ready Community: File Name Wolters_Kluwer_Regulatory_Package.zip WK_Library_Archive_Updates_-_AS.dfx5 WK_Library_Archive_Updates_-_Citation.dfx5 WK_Library_Updates_-_AS.dfx5 WK_Library_Updates_-_Citation.dfx5 WK_Item_Updates.dfx5 Description Wolters Kluwer Application Package Data feed configuration for Wolters Kluwer Regulatory Library. Imports into levels: Category 1, 2, 3, and Authoritative Sources. Executed 1 time. Data feed configuration for Wolters Kluwer Regulatory Library. Imports into Citations. Executed 1 time after AS archive above is complete. Data feed configuration for Wolters Kluwer Regulatory Library. Imports into levels: Category 1, 2, 3, and Authoritative Sources. Daily schedule. Data feed configuration for Wolters Kluwer Regulatory Library. Imports into level: Citations. Daily schedule. Data feed configuration for Regulatory Intelligence Items and Wolters Kluwer Rule Relationships. Daily schedule. All of the provided DFX files are configured to use the on demand applications provided in the Wolters Kluwer Application Package mentioned above. Once installed, these applications are intended to appear in the Corporate Obligations Management solution. Important: Version 6.3 or higher of the RSA Archer Platform is required, as the application package will not import into prior versions of RSA Archer. Installing the Application package After you have downloaded the integration files, you will need to import the Wolters Kluwer application package to create the Archer applications. To do so, perform the following steps: 1. Login into RSA Archer. Go to Administration -> Application Builder -> Install Packages. 2. Click Import and browse to the Wolters Kluwer application package file (Wolters_Kluwer_Regulatory_Package.zip)

6 3. Click the Map button to map the components of the package to your environment: 4. On the Applications tab, change the target for both the Wolters Kluwer Regulatory Library and Wolters Kluwer Rule Relationships to Do Not Map: 5. On the Sub-Forms tab, change the target for WK_Items_Document_PDF_Links and WK_Other_Rules to Do Not Map. 6. Click the Execute button to complete the mappings

7 7. Click the Install button to install the package into your environment. 8. Next, configure the components to install. a. Check all boxes next to Application and Report components. b. It is recommended that Install Method be set to Create New and Update for all components, especially for Regulatory Intelligence Items. c. It is recommended that Install Option be set to Override Layout(s) for all components, especially for Regulatory Intelligence Items. 9. Click Install. On the pop up window, READ THE TEXT. When sure you are ready to proceed, check the box and click OK. Otherwise, click Cancel and take the appropriate measures to prepare your environment

8 10. Confirm that package was successfully installed. a. Navigate to the Corporate Obligations Management solution. Go to Regulatory and Corporate Compliance -> Corporate Obligations Management. Confirm Wolters Kluwer Rule Relationships and Wolters Kluwer Regulatory Library applications appear. b. Navigate to Regulatory Intelligence Items and click Create New Record

9 c. Select Wolters Kluwer from the Source field. Confirm that the Wolters Kluwer Information section appears. Importing the Data Feed Files Once the application install is complete, you will need to import and configure the five Wolters Kluwer data feeds. The WK Library Archive Updates AS and WK Library Archive Updates Citation feeds retrieve and process the regulatory library data files provided by Wolters Kluwer, inserting them into the Wolters Kluwer Regulatory Library application. The WK Library Updates AS and WK Library Updates Citation feeds call a URL provided by Wolters Kluwer to retrieve and insert regular updates into the Wolters Kluwer Regulatory Library application. The WK Item Updates feeds call a URL provided by Wolters Kluwer to retrieve and insert regular updates into the Regulatory Intelligence Items and Wolters Kluwer Rule Relationships applications. To configure the feed, perform the following steps: 1. Select Data Feeds from the Navigation Menu, by selecting Administration -> Integration - > Data Feeds

10 2. For each data feed file, click the Import link and browse to the data feed file you downloaded. You will repeat the following steps until all data feeds have been imported, configured and saved. 3. On the General Information tab update the following information: 1. Update the data feed service user account. 2. For the WK Library Archive Updates AS and WK Library Archive Updates Citation feeds, set the status to Active. 3. For the WK Library Updates AS, WK Library Updates Citation, and WK Item Updates feeds, leave the status as Inactive. These will be activated in Scheduling the Data Feeds below

11 4. On the Transport tab update the following information: a. For the WK Library Archive Updates AS and WK Library Archive Updates Citation feeds, update the Path with a valid file location. Each file provided requires the data feed to be run a separate time. The file name provided will have to be changed each time these feeds are run. NOTE: Alternatively, these files could be loaded using the FTP Transporter in which you load the appropriate data files to an FTP site instead of a local file path. b. For the WK Library Updates AS, WK Library Updates Citation, and WK Item Updates feeds: i. Update the Data Request URL with the URL provided by Wolters Kluwer. ii. In the Post Data, update the <ClientCode> and <ValidationKey> with the ones provided by Wolters Kluwer

12 c. If applicable, update the Proxy. 5. On the Source Definition tab, for the WK Library Updates AS, WK Library Updates Citation, and WK Item Updates feeds, update the following information: a. Click on the Tokens tab. b. Update the lastreaddate with the date that coincides with when the Regulatory Library data files were taken. The format is MM-DD-YYYY. (ex: If the Regulatory Library files provided were from March 15 th, 2018, set the date to ). c. Update the lastreadtime to 00:00:

13 6. On the Data Map tab to review field mappings and make any necessary changes. A list of recommended field mappings can be found in Appendix A, Appendix B, and Appendix C, respectively. 7. Save the Data Feed. Scheduling the Data Feeds In order to replicate the regulatory library and associated regulatory intelligence that is licensed for use within the Wolters Kluwer, you must do a one-time load of the baseline regulatory library and then schedule the ongoing updates. Initiate the library load by performing the following steps: 1. Double check that the WK Library Archive Updates AS and WK Library Archive Updates Citation feeds are Active. 2. Click on WK Library Archive Updates Citation. 3. On the Transport tab, confirm that the file referenced is the one to be loaded. For each file provided by Wolters Kluwer, this file name will need to be changed to reflect the file you wish to load before proceeding to the next step

14 4. On the Schedule tab, note this feed is set as a trailer or reference feed to the WK Library Archive Updates AS feed. It should start once the reference feed completes. Our intent is to first process the WK Library Archive Updates AS feed to import into the top levels of the Wolters Kluwer Regulatory Library application before importing into the bottom level, Citations. 5. Save the Data Feed. 6. Click on WK Library Archive Updates AS. 7. On the Transport tab, confirm that the file referenced is the one to be loaded. For each file provided by Wolters Kluwer, this file name will need to be changed to reflect the file you wish to load before starting to this data feed. 8. On the Schedule tab, click Start next to Run Data Feed Now

15 9. Click Run Detail on the Schedule tab for additional information on the status of the feed or to troubleshoot any feed errors. 10. Save the Data Feed. 11. Repeat steps 2 through 9 until all provided data files have been loaded. 12. Once all files have been processed, click into each data feed above and set the status back to Inactive. Schedule the ongoing library updates by performing the following steps: 1. Click on WK Library Updates AS. 2. On the General Information tab, set the status to Active. 3. On the Schedule tab, define the frequency and timing of when you would like the library updates to be imported. It is recommended to set a daily feed to occur at low traffic times. This timing should generally match the ongoing intelligence updates set up in the next section. 4. For now, click Start to initiate the feed for the first time and ensure it runs without error. 5. Save the Data Feed. 6. Click on WK Library Updates Citation. 7. On the General Information tab, set the status to Active. 8. On the Schedule tab, note this feed is set as a trailer or reference feed to the WK Library Updates AS feed. It should start once the reference feed completes. Our intent is to first process the WK Library Updates AS feed to import into the top levels of the Wolters Kluwer Regulatory Library application before importing into the bottom level, Citations. 9. Click Run Detail on the Schedule tab for additional information on the status of the feed or to troubleshoot any feed errors

16 10. Save the Data Feed. Schedule the ongoing intelligence updates by performing the following steps: 1. Click on WK Item Updates. 2. On the General Information tab, set the status to Active. 3. On the Schedule tab, define the frequency and timing of when you would like the regulatory intelligence updates to be imported. It is recommended to set a daily feed to occur at low traffic times. This timing should generally match the ongoing library updates set up in the previous section. 4. For now, click Start to initiate the feed for the first time and ensure it runs without error. 5. Click the Run Detail link for additional information on the status of the feed or to troubleshoot any feed errors. 6. Save the Data Feed

17 Validating the Solution The solution should now be populated with data from your Wolters Kluwer. Ensure that it appears as follows: 1. Validate the data was populated in the Wolters Kluwer Regulatory Library application. Go to Regulatory and Corporate Compliance -> Corporate Obligations Management -> Wolters Kluwer Regulatory Library. 2. Click into a Category 1 record. 3. Click into a related Category 2 record

18 4. Click into a related Category 3 record

19 5. Click into a related Authoritative Source record

20 6. Click into a related Citation record. 7. Click into a related Wolters Kluwer Rule Relationships record OR navigate to Regulatory and Corporate Compliance -> Corporate Obligations Management -> Wolters Kluwer Rule Relationships and select a record

21 8. Click into a related Regulatory Intelligence Item record. Maintenance Considerations Data Size: This solution was tested with a Library load of ~7500 records. This was deemed to be a small to medium test set. The query for regulatory intelligence over the course of a month added 85 records. Subsequently, 200 rule relationship records were created to link those 85 intelligence records to the 7500 library records. Over the course of the year, that would equate to around 3500 new records each year assuming one didn t add more regulators to our Wolters Kluwer subscription. That brings the total after one year to ~11K records

22 Archiving: As Regulatory Intelligence is meant to be actionable, consider archiving or removing intelligence items and their related rule relationships once the intelligence has served its useful purpose. No auto-archiving is enabled as part of this integration. After several years, the volume of data may slow report responsiveness and add to the overall performance considerations within the RSA Archer platform. Keep in mind that all intelligence can still be found in Wolters Kluwer s for investigation should it be required

23 Certification Environment for RSA Archer GRC Date Tested: March 21 st, 2018 Certification Environment Product Name Version Information Operating System RSA Archer GRC 6.3 P4 Virtual Appliance Wolters Kluwer March

24 Appendix A This table contains the field mappings for the WK Library Archive Updates AS and WK Library Updates AS feeds (Key Field Definitions in bold). Source Fields Target Archer Fields asdescription Authoritative Source Description authoritativesourceid Authoritative Source ID authoritativesourcename Authoritative Source Name status Authoritative Source Status updatetopics Authoritative Source Topics astype Authoritative Source Type ascategory3id Category 3 Reference ascategory2id Category 2 Reference ascategory1id Category 1 Reference ascategory1id Category 1 ID ascategory1name Category 1 Name ascategory2id Category 2 ID ascategory2name Category 2 Name ascategory3id Category 3 ID ascategory3name Category 3 Name codify Codify commonname Common Name country Country effectivedate Effective Date industrysector Industry Sector issueddate Issued Date Issuer Issuer Jurisdiction Jurisdiction (import) updatejurisdictions Jurisdictions lineofbusiness Line of Business (import) updatelineofbusinesses Lines of Business originator Originator primaryreferenceid Primary Reference ID primaryreferenceurl Primary Reference URL Region Region regulatorname Regulator regulatordescription Regulator Description regulatorloaderid Regulatory Loader ID rescindeddate Rescinded Date secondaryreferenceid Secondary Reference ID secondaryreferenceurl Secondary Reference URL sortorder Sort Order sublineofbusiness Sub Line of Business

25 Appendix B This table contains the field mappings for the WK Library Archive Updates Citation and WK Library Updates Citation feeds (Key Field Definitions in bold). Source Fields Target Archer Fields authoritativesourceid Authoritative Source Reference citationdescription Citation Description citationid Citation ID citationname Citation Name status Citation Status updatetopics Citation Topics codify Codify commonname Common Name country Country effectivedate Effective Date industrysector Industry Sector issueddate Issued Date issuer Issuer jurisdiction Jurisdiction (import) updatejurisdictions Jurisdictions lineofbusiness Line of Business (import) updatelineofbusinesses Lines of Business originator Originator primaryreferenceid Primary Reference ID primaryreferenceurl Primary Reference URL Region Region regulatorname Regulator regulatorloaderid Regulatory Loader ID rescindeddate Rescinded Date secondaryreferenceid Secondary Reference ID secondaryreferenceurl Secondary Reference URL sortorder Sort Order sublineofbusiness Sub Line of Business

26 Appendix C This table contains the field mappings for the WK Item Updates feeds. Source Fields Target Archer Fields summary Abstract commentsduedate Comments Due Date contentdatetime Content Date Time releasedate Date Published documentid Document ID documentlanguage Document Language documenttype Document Type effectivedate Effective Date effectivedatetype Effective Date Type filingdate Filing Date filingstatus Filing Status updatefunctionalareas Functional Areas itemid Item ID updatejurisdictions Jurisdictions SrNo Library Rules Affected authoritativesourceid Authoritative Source Referenced authoritativesourceid Authoritative Source ID authoritativesourcename Authoritative Source Name citationid Citation Referenced citationid Citation ID citationname Citation Name doctitle Intelligence Item Title reldate Release Date rulerelation Rule Relationship SrNo Sr No updatelineofbusinesses Lines of Business documentlinkurl Link notes Notes <NOT MAPPED> Other Rules Affected citationname Citation Name SrNo Sr No URL URL <NOT MAPPED> PDF Links PDFLanguage Language PDFLink Link PDFDocumentName Name SrNo Sr No TranslationType Translation Type regulator Regulator releasedate Release Date

27 Source documenttitle updatetopics updatetype webnonweb updatetopics Source Title Topics Update Type Web or Nonweb WK Topics