Control Systems
A risk and control system is a set of controls that enables the assurance of risk prevention and management, application of internal operating rules, respect of a law or regulation, or achievement of an objective as defined by company strategy.
To activate the option that allows you to view control systems: in the left pane of the Options window, select Compatibility > HOPEX Solution on the left and check Activate ‘Control Systems' box.To access the list of control systems from the Processes > Controls & Risks navigation pane:
1. Expand Control Systems.
The list of control systems defined in the database appears.
With each control system can be associated requirements, risk types, etc.
Creating a control system
To create a control system from the Processes pane:
1. Select Controls & Risks > Control Systems.
2. Click New > Control system.
A dialog box asks you to enter the name of the new control system.
3. Having entered the name, click OK.
The new control system appears in the navigator menu tree.
Control system characteristics
To access the characteristics of a control system:
Open the Characteristics property page of the control system.For a control system you can enter:
• the Control System Code.
• The Control System Audit Periodicity.
• The Regulation Frameworks to which the control system makes reference.
Control System scope
In the Scope property page of the Control System, you can indicate the business functions, processes, org-units, sites, etc. concerned by the control system.
Control system requirements
A requirement is a need or expectation explicitly expressed, imposed as a constraint to be respected within the context of a project. This project can be a certification project, or an enterprise information system organization or modification project.From among the requirements associated with regulation frameworks to which the control system refers, you can select those relevant to this control system.
You can also add requirements specific to the particular control system.
Control system objectives
You can find objectives and requirements of the control system in the Objectives and Requirements property page.
An objective is a goal that a company/organization wants to achieve, or is the target set by a process or an operation. An objective allows you to highlight the features in a process or operation that require improvement.Classifications
The different classifications (risk factors, risk types, control types) associated with a control system are accessible from the control system page.
As for requirements, you can select from among the classifications associated with regulation frameworks those that are relevant to this control system.