Implementing Recommendations
HOPEX Compliance uses recommendations and actions to process non-compliances identified in tests.
Action plans available in the Remediation navigation tab of solution are not used in the framework of testing.When the closing report is circulated, recommendations are automatically sent to recommendation owners.
Accessing recommendations
The recommendation owner receives a single e-mail for all recommendations addressed to him.
To access recommendations to be executed:
Select Home > Recommendations and Actions. The Recommendations to Execute folder presents the list of recommendations assigned to you.
Implementing actions
The recommendation owner must create actions whose objective is to take account of these recommendations.
For more details, see "Action workflow", page 141.Creating actions
To create an action:
1. Click Home > Recommendations and actions > Recommendations to execute > My recommendations to answer.
2. Select a recommendation and click Properties.
3. Open the properties of the recommendation and select the Action Plan tab.
4. In the Actions section, click New.
5. Open the properties of the action created.
6. Modify its name if necessary, enter an implementation date limit and the owner of the action.
The current user is by default the action owner.7. Click OK.
Submitting action plans
Actions created and assigned to appropriate users constitute an action plan.
This action plan is submitted to the lead controller or the compliance manager via the recommendations workflow.
For more details on the workflow, see "Recommendation Workflow", page 140.To submit the action plan:
Click the recommendation icon and select Action Plan to be Submitted > Submit Action Plan. The lead controller or compliance manager validates the action plan by return.
Following up recommendation implementation
When the action plan has been validated, actions are implemented by the persons concerned.
Following up recommendation progress
After a predetermined period, the compliance manager or lead controller can request information on progress of recommendations.
Specifying recommendation progress
The recommendation owner must inform the compliance manager on progress of his actions.
To indicate progress of recommendations:
1. In the page of a recommendation, select the Action Plan tab.
2. In Progress Rate, specify an execution percentage of the action plan (that is of taking account of the recommendation).
3. Click OK.
The recommendation owner can also indicate action progress in the page of the action.
Following up recommendations
An analysis report assures follow-up of recommendations.
This report is accessible to the compliance manager or the functional administrator.To access a recommendation follow-up report:
In the Compliance desktop, select Compliance Testing > Decisional Reports > Recommendation Reports.To create a recommendation report:
1. Click New and open the report created.
2. In Parameters, connect the objects that interest you:
• Plans
• Compliance Tests
• Entities
• Process
• Risks
3. In the Reports tab, you can see:
• Recommendations breakdown by priority
• Recommendations breakdown by progress (delayed, etc.)