Preparing Control Execution
To be able to launch execution campaigns, you must first define the necessary conditions for control execution:
• questions
• steering calendars
• total population and sample size
• respondents
• control contextualization
Defining Questions on Controls
You must define the content of check-lists used at control execution.
The questions to be defined on controls are called “control steps”.
For more details on question types, see Question Types.
Only answers of type “OK/KO” can be aggregated in execution campaign results. Other answer types are considered for information only.To create questions on a control:
1. In the control properties, select the Execution page.
2. In the Control Steps section, click the Create a Questionnaire Template button.
The questionnaire creation tool opens. For more information on how to use it, see Managing Questionnaire Templates.
Defining Steering Calendars on Controls
To define execution periodicity, you must specify the steering calendar to be used on each control.
You can specify the control execution steering calendar only after having created the questionnaire (that is to say control steps).To create a steering calendar, see Managing Steering Calendars.
Specifying a control steering calendar
To specify a steering calendar:
1. In the properties of a control, select the Execution page from the drop-down list.
2. Ensure you have properly created a questionnaire template.
3. Select an Execution Frequency.
This field is for information only.4. Select a Steering Calendar.
Different steering calendars exist for different execution periodicities:
• daily
• monthly
• weekly
Modifying a steering calendar after campaign creation
If you modify the steering calendar on controls included in a campaign in progress, you need to re-schedule check-lists.
To ensure all check-lists are properly scheduled:
1. In the properties of an execution campaign, select the Sessions page.
2. Click the Schedule Checklists button.
This applies to controls that use a steering calendar not included originally in the campaign, or controls whose steering calendar has been modified.Defining the Total Population and Sample Size
This step is optional.You can define:
• the Total Population Size: total number of objects
• The Sample Size: percentage of population that is actually controlled
This information is optional.For example:
- Control: “Check the contract signature”
- Total population: 20 (20 contracts)
- Sample size: 10% (2 controls are checked)
The control owner receives a check-list with two lines to fill in (one line per contract)
To specify the total population and sample size:
1. In the control properties, select the Execution page.
2. Expand the Execution Method section.
3. Specify the following information:
The Compliance threshold enables to compute the execution result.The control is “Passed” if the compliance rate is greater than or equal to the compliance threshold.
Defining Respondents
Check-list respondents are control owners for a specific entity.
On each control you must define persons responsible for completing execution check-lists.
The logics behind respondent definition is the same as for control assessment by entities. See Control Assessment by Entity.
Connecting Controls to Entity Processes
Controls are executed in the framework of organizational/business processes, connected to organization entities.
To connect controls to processes, see Contextualizing Controls.