Creating Control Steps from an Existing Template
To initialize control steps from an existing template:
2. Click Initialize from an existing template.
*Select the questionnaire template as well as the questions to include (you may select only some of them).
*The available control step templates can be found in Assessment > Control Execution Steps.
Defining Steering Calendars on Controls
To define execution periodicity, you must specify the steering calendar to be used on each control.
*You can specify the control execution steering calendar only after having created the questionnaire (that is to say control steps).
To create a steering calendar, see Managing Steering Calendars.
Defining the Total Population and Sample Size
*This step is optional.
You can define:
• the Total Population Size: total number of objects
• The Sample Size: percentage of population that is actually controlled
*This information is optional.
For example:
- Control: “Check the contract signature”
- Total population: 20 (20 contracts)
- Sample size: 10% (2 controls are checked)
The control owner receives a check-list with two lines to fill in (one line per contract)
To specify the total population and sample size:
1. In the control properties, select the Execution page.
2. Expand the Execution Method section.
3. Specify the following information:
*The Compliance threshold enables to compute the execution result.
The control is “Passed” if the compliance rate is greater than or equal to the compliance threshold.
Defining Respondents
Check-list respondents are control owners for a specific entity.
On each control you must define persons responsible for completing execution check-lists.
The logics behind respondent definition is the same as for control assessment by entities. See Control Assessment by Entity.
Connecting Controls to Entity Processes
Controls are executed in the framework of organizational/business processes, connected to organization entities.
To connect controls to processes, see Contextualizing Controls.