Creating Control Steps from an Existing Template
To initialize control steps from an existing template:
1. See Defining controls Steps.
2. Click Initialize from an existing template.
Select the questionnaire template as well as the questions to include (you may select only some of them).
The available control step templates can be found in Assessment > Control Execution Steps.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 control properties, select the Execution page.
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.