Viewing Regulation Articles
Regulation articles correspond to the imported UCF Citations.
For more details, see Main Concepts Used in UCF.A regulation article is necessarily associated to a control directive.
If the original UCF citation has children but is not associated to any UCF Common Control, it becomes a regulation section in HOPEX UCF. If the original UCF citation does not have children and is not associated to any UCF Common Control, it becomes a "leaf" (and irrelevant) regulation article.
The property page of a regulatory article displays:
• the parent regulatory article or section
• children articles, if any
• the elements that are subjected to this regulatory article (entities or processes)
• the associated mandated directives
• the implementing controls, if any
Accessing Regulation Articles
To access regulation articles:
In the navigation menu, select Libraries > Control Framework > By Regulatory Articles.The items displayed are classified in two lists:
• Regulation articles implemented by controls: relevant regulation articles to be enforced AND implemented by HOPEX controls.
• Regulation articles not implemented by any controls: relevant regulation articles to be enforced BUT NOT implemented by any HOPEX control.
Viewing the objects subjected to a regulation article
Business processes, organizational processes and entities can be associated to regulation articles (or sections) to specify what parts of the organization are subject to compliance.
To connect business processes, organizational processes or entities to a regulation article:
In the property page of a regulation article, expand the Subjected Elements section and connect objects as appropriate.
Once connected to the regulation article, the entities, organizational and business processes display a Regulation Articles tab in their scope. For more information on entity and process properties, see Managing Entities and Managing Processes.Enforcement of a regulatory article
To know more about the enforcement of a regulation article:
Open its property pages and expand the Enforcement section.
You can view:
• its Mandated Control Directives
• its Implementing Controls
Implied and implementation directives are not connected to any regulation article. You therefore cannot find them in the property page of regulatory articles. Mandated directives of a regulatory article
A mandated directive is a directive associated to a regulation article from the regulatory framework(s) selected by the organization. It is considered "mandated" as it enforces a regulatory article.
A regulation article with relevance to the organization is necessarily associated to a mandated control directive.
Implementing controls
Internal controllers must design HOPEX controls to implement directives.
Connecting Business Documents
You can link business documents to an article (or a section).