Planning Tests
Test planning is carried out by the GRC Manager.
A test is assigned to a controller in the framework of a plan.Creating a test
To create a test:
1. Click Testing > Preparation > Plans.
2. Open the properties of the plan that will include the test to be created.
3. Select Tests in the drop-down menu at the top of the page.
4. Click New.
The new test appears under the plan.
To define characteristics of the test, see Defining test properties.Accessing tests
To access tests of a test plan:
Click Testing > Plans and expand a plan.The tests (or audits, depending on the plan nature selected) corresponding to the plan appear.
You can also access the list of tests via the menu Test > Preparation > Tests.Defining test properties
You can specify certain information on tests.
General characteristics
General characteristics of the test are:
• Name: test name.
• Code: you can assign a code to the test.
• Included in the Initial Plan: this attribute is defined automatically according to plan status at the time of creation of the test. It indicates if the test was present at plan creation, or if it was added later.
• Entity controlled
• Lead Controller: lead controller name.
• Main Control Correspondent
• Objective of the test.
• Category of the test:
• "Compliance"
• "Efficiency"
• Status of the test: this attribute is defined automatically and modified at workflow transitions.
Justification and workload
In this section you can enter the following characteristics:
• Justification of the test
• Origin: follow-up, specific, recurrent, etc.
• Priority: priorities can be specified for tests. You can select tests to be integrated in the plan based on this priority criterion.
• Estimated Duration (days).
• Estimated Number of Resources
• Estimated Workload
The following characteristics are automatically calculated:• Effective Workload (Hours): calculated from the effective workload defined on time sheets or on activities if no time sheet has been entered.
• Estimated Number of Resources
Scope?
You can connect business or organizational processes to the test.
These can be used to automatically generate the test work program.
For more details, see Completing the work program manually.Milestones
In the Milestones section, you can indicate a Planned Begin Date and a Planned End Date. These dates constitute audit milestones.
You can choose to enter milestones at a later stage.Users
In the Users section, you can specify test participants:
• Test Controller: controllers having been previously defined, you can connect but not create controllers. See Assigning resources to tests.
• Person tested
• Other Participant in Test (for information only)
Skills
You can specify skills required by controllers to execute tests.
To define skills required for the test:
In the Skills frame, click New or Connect to create a skill or connect an existing skill.When assigning controllers to a test, you will be able to compare skills of controllers with skills required for the test. For more details on the report providing this information, see Assigning resources to tests.
Summary
In Summary of the completed test, you can indicate:
• Key Strengths
• Key Weaknesses
• Evaluation: good overall level, can be improved, etc.
Creating "template" tests
"Template" tests are work programs specially prepared to be applied to new tests.
This status is exclusively reserved for tests of a plan which is itself defined as a template. It applies automatically to existing tests of the template plan, and is proposed at creation of a new test on this same plan.
To define a test plan as a template:
1. Click Test > Preparation > Plans.
The list of plans appears in the edit window.
2. Click the icon of the plan in question and select To Be Validated > Set As Template.
Selecting tests to be executed
HOPEX Internal Control provides decisional help in selecting tests to be executed.
You can sort tests according to certain criteria, in order to:
• view previous tests
• find tests planned but not finally executed
Viewing the test coverage report
HOPEX Internal Control supplies a report providing information on the number of tests executed on each entity between two dates. It indicates entities that require testing, and enables generation of the corresponding tests.
To access this report:
1. Click Test > Preparation > Entity Coverage.
2. In the edit window, select a begin date and end date.
3. If required, select the score obtained by the test or its status.
4. Refresh the report by clicking the Refresh button 
at the bottom of the report.
at the bottom of the report.For each tested entity the report presents:
• the Number of tests executed between the two dates (effective begin and end dates)
• the name of the last Test.
• the End date of the last test (effective end date), or its state if it is still in progress
• the Score of the last test.
To generate tests corresponding to one or several entities:
Select the entity or entities that interest you and click the Generate Tests button.A wizard asks you to choose a target plan. The tests are generated.
Consulting test histories
Consulting the history of tests can simplify your choice of tests to be executed.
In the list of tests, you can consult assessments of the test. You can sort tests based on this criterion, allowing you to create tests on appropriate entities.
To group tests by assessment:
1. Select Test > Preparation then Tests.
2. Click the "Evaluation" column title.
Tests are then sorted by this criterion.
An arrow associated with the column enables ascending or descending sort order.
Consulting tests not executed
Tests can remain in "Published" status never to be executed, due to another test being of higher priority.
Tests published or in progress can also be canceled via the workflow.
Grouping tests by status enables identification of those that must be recreated on a subject.
To find tests not executed of a previous test plan:
1. In the navigation menu, select Test > Preparation > Tests.
2. In the list of tests, click the title of the “Status” column.
If the column does not appear, you can display it using the arrow located at extreme right of a column header.Tests are then sorted by this criterion.
An arrow associated with the column enables ascending or descending sort order.
Test assessment and status are defined in its properties. For more details, see Defining test properties.
Viewing previous test expenses
A report allows you to view expenses of previous audits.
To access this report:
1. Click Test > Preparation > Plans.
2. Select a Plan and open its properties.
3. In the drop-down list, select Plan Reports > Expenses.
You can view expenses:
• By category
• By resource (auditor, controller or tester)
Selecting tests to be integrated in the test plan
Tests become active after validation only. Among all tests, some are part of the definitive plan, while others are discarded.
HOPEX Internal Control proposes tools simplifying selection of tests to be integrated in the plan.
Discarding tests
Potential tests considered of low priority can be discarded via the workflow.
To discard a test:
1. Click Test > Preparation > Potential Tests.
2. Click the icon of the test to be discarded and select To Be Validated > Discard.
The test is discarded but not deleted. It could serve as a template for a new test the following year.
Validating tests
You can validate tests:
• globally, at validation of the test plan
• individually
Planning tests using a Gantt chart
A report allows the internal control director (or GRC manager) to plan the different tests of a test plan.
To display this report:
1. Under Testing > Plans, select the plan in question.
The plan properties appear in the edit area.
2. In the drop-down list of the property page, select Schedule.
A Gantt chart describes tests of the plan.
By default, planning relates to the current year, but you can view audits over a more precise period.
You can redefine the Gantt chart display period:
• by selecting a calendar period.
• or specific begin and end dates.
You can modify test dates in the diagram:
• by moving the period begin or end dates using the mouse.
• by clicking the center of the period and by moving the mouse to simultaneously move the begin and end dates.
Zoom functions allow you to customize display (zoom in and out in the calendar).
You can add tests from this chart.
Assigning resources to tests
Before assigning a resource to a test, you can view its availability and skills.
Viewing resource availability
To view resources available with necessary skills for a test:
1. Open the properties of the test plan concerned.
2. In the drop-down list select Plan Reports > Resource Allocation.
By default, the report presents tests of the test plan over the year. You can display those of a particular period.
3. In the table at top left, select a test.
4. In the table at top right, select a resource of which you wish to display availability.
You can select several resources.5. In the lower frame "Assign Resources", click the Refresh button .
.Two charts present:
• Skills required by the test and skills of the selected resource.
• Availability of the resource on test dates.
The color of the test period depends on the number of resources assigned to it related to the estimated number of resources:
• Green if the test has a sufficient number of resources
• Orange if resources are insufficient
• Red if no resources are assigned
These two charts should be refreshed separately.Assigning a resource to a test
To assign a resource to a test:
1. In the Assign Resources page of the test plan properties, in the top left frame, select the required test.
2. In the frame at top right, select a person.
3. Click the Assign button.
To remove a controller from the test, carry out the same procedure, but click the Unassign button.Specifying a lead controller for a given test
To specify the lead controller on a test:
1. Open the properties of the test concerned.
2. Specify the Lead Controller field.
Sending the Notification Letter
After having completed the specifications required for execution of a test, the internal control director can send a notification letter informing controlled persons of the test.
Sending this notification letter is not included in the workflow. It precedes the next step in the workflow which consists of publishing the test.
Creating notification letters
To create the test notification letter:
Click the icon of the test and select Deliverables > Notification Letter.A message asks if you want to open or save the file. The document presents the comment entered in characteristics of the test.
When the document has been saved, you can open and modify it.
You can also connect it to the test as a business document, under the "notification letters" category.
Connecting the notification letter to the test
The file is generated from test content, but is not connected by default to the test.
To connect the notification letter to the test and make it a business document:
1. Open properties of the test.
2. In the drop-down list, select the Documents page.
3. Click the New button.
The Creation of Business Document dialog box appears.
4. Indicate the business document name.
5. In File Location, click the Browse button.
The File Location dialog box appears.
6. Click Browse and select the file.
7. Click Upload.
8. In the document creation dialog box, in Document Pattern, select "Notification Letter".
9. Click OK.
The document appears in the list of documents attached to the test.
Validating tests
When the internal control director decides that a test should be executed as part of the test plan, he/she validates the test.
An assessment session is created. This will enable generation of questionnaires to internal controllers for assessment of controls. For more details, see Assessing controls.Publishing tests
HOPEX Internal Control enables preparation of tests and only making these public to controllers when planning is completed.
To make a test public:
1. Right-click the icon of the test.
2. Select To Be Published > Publish.
Test status changes to "Published".
Having been published, tests appear in the work program of controllers.