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GRC - Governance, Risk & Compliance > HOPEX Internal Control > Managing Compliance > Managing the Compliance Register > Viewing Regulation Articles

Viewing Regulation Articles

An article is a citation from a regulatory framework and is usually associated to a mandated control directive.

Regulation articles correspond to the imported UCF Citations. For further details, see .For further details, see Main UCF Concepts.

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

Control directives are an interpretation of the law and contribute to the enforcement of any regulation article your organization has to comply with.

• implementing controls, if any

A control is a set of rules and means enabling the assurance that a legal, regulatory, internal or strategic requirement is respected.

Accessing regulation articles

To access regulation articles:

In the navigation bar, select Compliance > Regulations > Regulatory Frameworks and expand the tree.

Connecting or viewing objects subjected to a regulation article

It is possible to connect process categories/processes or entities to articles (or sections). It enables to specify which parts of the organization are subject to compliance.

To connect process categories/processes or entities to a regulation article:

In the property page of the regulation article, expand the Subjected Elements section and connect objects as appropriate.

Once the entites, processes or process categories are connected to an article, an Articles tab appears in the scope of these objects.

You can also view objects that are indirectly linked to the regulation article.

Example of indirect link: If a regulatory framework is linked to an entity, the entity is indirectly linked to all the regulation articles and sections of the regulatory framework.

Enforcement of a regulatory article

To know more about the enforcement of a regulation article:

Open the property pages of the regulation article and expand the Enforcement section.

You can view:

• Its associated Control Directives

You can view the qualification of the control directive in the corresponding column:

• mandated

• implied

• implementation

• its Implementing Controls

Implementation controls that appear in this list are those connected to control directives of this section.

Internal controllers must design HOPEX controls to implement directives. For more details on implementing controls in HOPEX, see Managing Controls.

Connecting Business Documents

You can link business documents to an article (or a section).