Creating the Inventory of Control Directives
Control directives are an interpretation of the law and contribute to the enforcement of any regulation article your organization has to comply with.
InHopex Data Architecture, you can view the control directives in different ways:
• within the control frameworks that contain them
• in a tree structure that lists the control directives
• within the regulatory frameworks in which they appear.
• in the UCF documents.
Implementation controls may be associated with the control directives. See: Defining Data Quality Controls.
Accessing the list of control directives
To access the control directives of your repository:
Click Inventories > Frameworks > Control Directives.
In Hopex Data Governance, click Compliance > Frameworks > Control Directives.First-level Implied control directives appear in this list only if one of their children is mandated. Some columns indicate:
• whether the control directive constrains the organization
• the number of implementing controls associated
Supported and supporting directives
All control directives are displayed in a tree that enables to view their inter-relations.
To view the impacted control directives of a control directive:
In the control directive properties, display the Supported and supporting directives section.Having several control directives in the Supported Directives tab of a a control directive is highly beneficial. This means that efforts spent implementing one mandated control directive also contributes partly to the implementation of its supported control directives. Enforcement level of control directives
There are three enforcement levels for each control directive:
• mandated
a mandated directive is directly associated to a regulation article. It implements a regulatory framework.• implied
An implied directive is a non-mandated control directive that is a parent of a mandated directive. It indicates that one of the control directives contained within its supporting hierarchy is mandated. • implementation
An implementation directive is a non-mandated directive that is a child of a mandated directive. It provides details regarding how to carry out the mandated directive and facilitates its implementation.|
Enforcement level for control directives
|
|
|---|---|
|
Implied control directive
|
- Is not mandated
- Contains at least a mandated control directive in its hierarchy
- Allows to display the mandated control directives within the UCF hierarchy
- Is supported by a mandated control directive
|
|
Implementation control directive
|
- Is not mandated
- Appears under a mandated control directive (is supporting a mandated control directive)
|
|
Mandated control directive
|
- Is supporting an implied control directive
- Can be supported by implementation control directives
- Can support or be supported by other mandated directives
|
Associating a control directive to an article of a regulatory framework
From an article, you can create a control directive or connect an existing control directive.
To create a control directive on a article:
1. In the regulatory framework tree, hover the mouse over the article.
2. Click New > Control Directive.
3. Enter the name of the control directive.
4. Click OK.
To connect an existing control directive to an article:
1. In the framework regulatory tree, select the article.
2. Click Connect > Control Directive
3. Enter the name of the control directive or click on Find.
4. Select the control directive.
5. Click Connect.
Viewing articles associated with a control directive
To view articles associated with a control directive:
1. Open the control directive properties.
2. Click the Characteristics page.
3. Expand the Fulfilled Regulation Articles section.