HOPEX IRM Common Features
About the IRM Manager Desktop
Accessing the IRM Manager Desktop
Profiles used in IRM solutions
IRM Profiles/Solutions Summary
The IRM Documentation
IRM Functional Administration
Managing Teams
Creating controllers
Creating skill types
Creating skills
Creating skill levels
Defining skills for each user
Viewing skills
Managing Currencies
Defining Central Currency
Defining local currencies available to users
Specifying your local currency
Managing Exchange Rates
Configuring Time Sheets
Managing Campaign Calendars
Creating calendars
Creating calendar periods
Connecting a calendar to an audit or test plan
Administrating Key Indicators
Accessing Indicator Administration Features
Defining Indicator Categories
Defining Indicator Interpretation logics
Defining Indicator Statuses
Creating indicator statuses
Computation of indicator statuses
Indicator status formulas
Defining Aggregation Periods and Methods
Exporting and Importing IRM Objects
Exporting IRM Objects
Using the export wizard from the main menu
Exporting IRM objects from a list
Importing IRM Objects
Managing your IRM Environment
Organization
Managing Entities
Accessing organization entities
Creating an entity
Managing Processes
Accessing processes
Creating a process and sub-processes
Specifying process scope
Process characteristics
Managing Business Lines
Accessing Business Lines
Specifying business line scope
Entering gross revenues for incident management
Managing Applications
Accessing applications
Specifying application scope
Financial Environment
Accounts
Products
Gross Incomes
Strategic Environment
Risk Environment
Describing Risk Environment
Defining the Environment of a Specific Risk
Risk types
Risk factors
Risk consequences
Control Environment
Regulatory Environment
Consulting Requirements
Specifying Requirement Scope
RACI Responsibilities
Responsibility levels
Specifying Responsibilities
Managing IRM Object Libraries
Managing the Regulatory Library
Regulatory Library Overview
Regulatory library content
Updating the regulatory library content
Legal Inventory Objects
Managing Regulation Frameworks
Accessing regulation frameworks
Regulation framework characteristics
Accessing Requirements
Via a list
By implementing controls
Number of constrained elements
By non-compliance risks
Creating Requirements
Defining Requirements
Code
Parent requirement
Regulation framework
Priority
Analysis
Responsibilities
Scope
Sub-requirements
Milestones and Statuses
Managing Action Plans
All Action Plans
All action plans
My action plans
Delayed action plans
My delayed action plans
Action Plan by Scope
Action plans managing Incidents
Action plans implementing controls
Action Plans remediating issues
Action plans mitigating risks
Managing Key Indicators
Accessing Key Indicators
Accessing Key Indicators from a List
Accessing Key indicators by Entity
Defining Key Indicators
Creating a Key Indicator
Specifying the Aggregation Period and Method
Example of a Key Indicator
About Key Indicator Categories
Description of Key Indicator Categories
Relation between Indicator Category and Interpretation Logic
More Key Indicator Characteristics
Editing Key Indicator Parameters
Defining a Measurement Unit to be Displayed in Reports
Activating / Deactivating a Key Indicator
Specifying the Indicator Scope
Specifying Action Plans
Consulting the Key Indicator Dashboard
Indicator Status
Default statuses
Information about indicator status computation
Time To Failure
Indicator Freshness
Indicator Value
Defining Measurement Frequency and Notifications
Specifying Measurement Frequency
Managing User Notifications
Entering Periodic Key Indicator Values
Viewing the Indicator Graph
Managing Assessment Campaigns
Introduction to Assessment by Campaign
What is assessment?
Assessment sessions and campaigns
Questionnaire templates and questionnaires
Quotation rules
Aggregation schemas
Accessing Assessments by Profiles
Accessing Assessment Templates
Preparing the Assessment Work Environment
Pre-requisites to control assessment
Prerequisites to risk assessment
Risk and Control Campaign Assessment
Assessment Campaign Workflow Steps
Creating an Assessment Campaign (with model)
Creating an Assessment Session
Session creation mode
Session start options
Deploying Assessment Campaigns
Defining assessment campaign scope
Planning Assessment Campaigns
Validating Assessment Campaigns
Deploying Assessment Sessions
Defining assessment session scope
Defining assessment session scope
Specifying respondents
Validating Assessment Sessions
Generating questionnaires
Viewing Generated Questionnaires
Regenerating Questionnaires
Starting Assessment Sessions
Completing Questionnaires
Accessing Assessment Questionnaires
Requesting questionnaire transfer
Following Up Session and Questionnaire Progress
Consulting Session Results
Validating Assessment Questionnaires
Asking a respondent to modify answers
Viewing assessment campaign reports
Reassigning questionnaires
Closing the Assessment Session
Consulting Assessment Results
IRM Reports
IRM Report Availability
Key Indicator Reports
Indicator Comparator
Multi-Indicator Graph (Gauges)
Multi-Indicator Graph
Action Plan Follow-up Reports
Action Plan Follow-Up
Access path
Result
Gantt report
Assessment Follow-Up Reports
Assessment
Campaign results tree
Campaign Result Matrix by Entity
Aggregation Report
Follow-Up
Session Follow-Up
Session Statistics
Regulatory Compliance Reports
Requirement Location Matrix
Access path
Parameters
Result
Requirement Identification
Access path
Parameters
Results
IRM Solution Workflows
Risk Workflows
Testing Workflows
Test Plan/Audit Plan Workflow
Test Workflow
Test Activity Workflow
Expense Sheet Workflow
Assessment Workflows
Questionnaire Workflow
Assessment Session Workflow
Action Plan Workflows
"Bottom-up" Action Plan Workflow
"Top-down" Action Plan Workflow
Action Workflow
Incident Workflow
HOPEX Internal Control
Introduction to HOPEX Internal Control
Internal Control Process
Control Library Definition
Control Execution
Control Assessment
Issue and Action Plan Management
Accessing HOPEX Internal Control
Connecting to the solution
HOPEX Internal Control Profiles
Managing Controls
Creating Controls
Control Characteristics
General characteristics
Code
Control objective
Owner
Key control
Control nature
Operational cost
Execution mode
Status
Scope of a Control
Responsibilities concerning Controls
Responsibility levels
Specifying control responsible users
Control Dashboard
Regulatory Enforcement
Implemented control directives
Enforced regulation articles
Accessing controls
Listing Controls
Accessing Controls by Control Types
Accessing Controls by Mitigated Risks
Accessing Controls by Implementation
Accessing Controls by Controlled Elements
Accessing Controls by Deficiencies
Contextualizing Controls
Connecting processes to an entity
Connecting processes to a control
Visibility of Controls
Assessing controls
Control Assessment Types
Control Direct Assessment
Direct Assessment Context
Assessing a Control
Assessing Multiple Controls Simultaneously
Displaying the Results of Control Assessment
Analyzing Control Assessment Results
Instant reports
Dedicated analysis reports
Computing Assessment Results
Executing controls
Preparing Control Execution
Defining Questions on Controls
Defining Control Execution Calendars
Specifying a control steering calendar
Creating and configuring a steering calendar
Defining Respondents
Connecting Controls to Entity Processes
Execution Campaign Principle
Preparing Execution Campaigns
Control Execution Periodicity
Assessment Template Specific to Control Execution
Creating Execution Campaigns
Creating Execution Campaigns
Previewing the execution campaign
Starting Execution Campaigns
Starting Execution Campaigns
Examples of Session Automatic Launch
Scheduling Execution Campaigns
Completing Control Execution Check-Lists
Managing Execution Check-Lists
Accessing Check-Lists
Following Check-Lists Up
Campaign results
Check-list reports
Displaying check-lists measures
Displaying the aggregated measures
Control Execution Reports
Detailed Execution Results
Access path
Parameters
Result
Consolidated Execution Results
Access path
Parameters
Result
Following Up Execution Sessions
Access path
Availability
Parameters
Result
Control Testing
Preparing Control Testing
Defining Test Sheet Questions
Defining the Testing Method
Managing Teams
Creating Controllers
Creating skill types
Creating skills
Creating skill levels
Defining skills for each user
Viewing skills
Managing Currencies
Defining Central Currency
Defining Local Currency
Modifying User Local Currency
Managing Exchange Rates
Configuring Time Sheets
Managing Campaign Calendars
Creating Calendars
Creating Calendar Periods
Connecting a Calendar to a Test Plan
Preparing Tests
Creating a Test Plan
Planning Tests
Creating a test
Accessing tests
Defining test properties
Creating "template" tests
Selecting tests to be executed
Selecting tests to be integrated in the test plan
Planning tests using a Gantt chart
Assigning resources to tests
Sending the Notification Letter
Validating tests
Publishing tests
Preparing Tests
Work program creation prerequisites
Work program content
Creating work programs automatically
Completing the work program manually
Assigning activities
Reviewing the Work Program
Validating work programs
Executing administrative tasks
Executing Tests
Consulting the Work Program
Executing Tests on Samples
Creating workpapers
Specifying or modifying the sample size
Generating the test sample
Defining test sheet questions
Completing the generated test sheets
Assessing test activities
Assessing Controls
Generating questionnaires
Responding to Questionnaires
Managing Time and Expenses
Managing expenses
Entering vacations
Completing a Time Sheet
Management of issues and action plans
Managing issues
Managing action plans
Supervising Tests
Test check reports
Time sheet follow-up reports
Test expenses reports
Concluding Tests
Test assessment reports
Generating test reports
Assessing tests
Terminating tests
Closing tests
Test Follow-Up
Implementing Action Plans
Accessing action plans
Implementing actions
Action plan implementation follow-up
Action Plan Follow-Up
Test Plan Follow-Up
Displaying test plan follow-up reports
Closing a test plan
Dashboard
Reports Related to Controls
Control Library Reports
Control Identification
Access path
Parameters
Results
Control Location Matrix
Access path
Parameters
Control Map
Generating the control map
Control map content
Control Execution Reports
Detailed Execution Results
Access path
Parameters
Result
Consolidated Execution Results
Access path
Parameters
Result
Following Up Execution Sessions
Access path
Availability
Parameters
Result
Control Assessment Reports
Campaign Result Tree
Access path
Parameters
Campaign Result Matrix By Entity
Access path
Parameters
Aggregation Report
Access path
Parameters
Assessment Follow-Up Reports
Session Follow-Up
Access path
Parameters
Session Statistics
Access path
Parameters
Result
Control Testing Reports
Testing Coverage
Plan Synthesis
Access path
Result
Other Reports
Test plan follow-up reports
Test follow-up report
Action plan report
Issue Follow-up Reports
Access path
Result
Managing Issues and Action Plans
Managing issues
Automatic Issue Creation
Creating an Issue Manually
Remediating Issues
Following Up Issues
Viewing remediated / non-remediated issues
Generating issue follow-up reports
Managing Action Plans for Internal Control
Creating Action Plans
Characterizing Action Plans
General characteristics
Financial assertion
RACI
Success factors
Scope?
Milestones
Attachments
Managing Actions
Creating Actions
Defining action scope
Action Plan Workflows
"Bottom-up" approach
"Top-down" approach
Action workflow
Indicating Action Plan Progress
Action plan follow-up reports
Access path
Result
Using HOPEX UCF
About Unified Compliance Framework
Main Concepts Used in UCF
Authority Documents
Citations
UCF Controls
Links between UCF concepts
Building a Shared List
Mapping and Concepts
Mapping between UCF and HOPEX Concepts
Definitions of Main Concepts Used in HOPEX UCF
Managing UCF Environment in HOPEX UCF
UCF Import Prerequisites
Parameterizing UCF Import
Importing Data from the Common Controls Hub
Declaring Regulation Content as Relevant
Regulory content relevance
Reviewing regulatory frameworks after UCF import
Selecting relevant content for your organization
Accessing your Control Framework Library
Viewing Regulatory Frameworks
Accessing regulatory frameworks
Regulatory framework overview & description
Regulation articles of a regulatory framework
Viewing Regulation Articles
Accessing Regulation Articles
Viewing the objects subjected to a regulation article
Enforcement of a regulatory article
Connecting Business Documents
Viewing Control Directives
Accessing control directives
Viewing fulfilled regulation articles
Supported and supporting directives
Enforcement level of control directives
Viewing HOPEX controls implementing a control directive
Connecting Business Documents
HOPEX Enterprise Risk Management
Managing Risks
Risk Management Profiles
Creating a Risk
Accessing risks
All Risks
Risks by Taxonomy
Risks by Context
Risks by Mitigation
Risks by Materialization
Risks with Open Incidents
Materialized Risks
Unmaterialized Risks
Risk characteristics
General characteristics
Risk, factors and consequences
Risk types
Risk factors
Risk consequences
RACI on a Risk
Risk Dashboard
Contextualizing Risks
Risk Workflow
Assessing Risks
Risk Assessment Types
Assessing risks directly
Direct Assessment Context
Direct Risk Assessment Templates
Assessed characteristics
Assessed objects
Respondents
Questionnaire
Creating a Direct Assessment on a Risk
Assessing Multiple Risks Simultaneously
Viewing and Analyzing Risk Assessment Results
Displaying Risk Assessment Results
Generating Reports on Assessments
Instant reports
Generating dedicated reports
Treating Risks
Risk Treatment Mode
Risk Treatment Decision
Risk levels
Actions to Treat Risks
Specifying treatment actions
Setting up action plans
Control policy monitoring
Report Related to Risks
Risk Environment Report
Access path
Report parameters
Creating a Risk Environment Report
Incident Identification Reports
Location Matrix
Access path
Report parameters
Risk identification
Access path
Report parameters
Report example
Aggregation Reports
Net Risk by Risk Type
Access path
Risk Heatmap (Aggregated)
Access path
Report parameters
Content of the heatmap
HeatMap by Entity/Risk Type/Process
Access path
Report parameters
Report example
Assessments per Context
Access path
Report parameters
Overall Risk Level by Process
Access path
Report parameters
Report example
Overall Risk Level by Entity
Access path
Report parameters
Report example
Aggregation Report
Access path
Report parameters
Report example
Risk Follow-Up Reports
Session Statistics
Access path
Parameters
Report example
Result
Risk Management Effectiveness Reports
Risk Context Synthesis
Access path
Parameters
Report content
Risk Reduction
Access path
Report parameters
Report example
Coverage & Risks Matrix
Access path
Matrix content
Trend Analysis
Access path
Report parameters
Report example
Result calculation
HOPEX LDC
Collecting Incidents
Connection Profiles to HOPEX LDC
Managing Incidents with HOPEX IRM
Accessing incidents
Creating incidents
Specifying incident characteristics
Recording Incident-Linked Amounts
Accessing Incident Financial Analysis
Entering a Loss
Defining scope of a loss
Entering Gains
Recording Recoveries
Recording Provisions
Viewing Incident-Linked Amounts
Accessing the Incident Library
Viewing all incidents
Viewing incidents by materialized risk
Viewing incidents by risk type
Viewing incidents by affected element
Viewing incidents with a possible impact
Analyzing Incidents
Incident Qualitative Analysis
Risks and controls
Risk factors
Risk consequences
Incident Scope
Impact analysis of Incidents
Managing Macro-Incidents
Connecting incidents to macro-incidents
Creating a macro-incident
Analyzing macro-incidents
Incident Management Process
Incident Management Process General Description
Incident Management Process Steps
Submitting incidents
Validating incidents
Closing incidents
Reports Related to Incidents
Loss Analysis Reports
Incident and Loss Distribution
Access path
Report parameters
Incident and Loss Evolution by Month
Access path
Report parameters
Results
Incident and Loss Evolution by Risk Type
Access path
Report parameters
Results
Back Testing Reports
Back Testing Matrix
Access path
Report parameters
Back Testing By Risk Type
Access path
Report parameters
Back Testing by Business Line
Access path
Report parameters
Capital Calculation Reports
Loss Distribution Matrix
Access path
Report parameters
BIA Approach
Access path
Report parameters
TSA Approach
Access path
Report parameters
HOPEX IRM Common Features
TSA Approach