Defining control characteristics
In the Characteristics property page of a control, you can specify:
• its Code enabling unique identification of the control
• Name
• Owner
By default the owner is the control creator.• Nature:
• Corrective
• Detective
• Preventive
RACI on a control
HOPEX enables to define the responsibility level of the various persons on a control.
Specifying Responsibilities
To assign a level of responsibility to the persons concerned by the control:
Create responsibility assignations in one of the following tabs:• Responsible
• Accountable
• Consulted
• Informed
Responsibility levels
The proposed responsibility levels are as follows:
Responsibility | Explanation |
|---|---|
Responsible | Persons responsible for execution of required actions. |
Accountable | Persons reporting on progress of planned actions and making decisions. There is only one "Accountable" for each action. |
Consulted | Persons consulted as first priority before an action or decision. |
Informed | Must be informed after an action or decision. |
Defining the scope of a Control
A control can be linked to different objects types:
• Objects from process hierarchy such as Process Categories, Processes and Operations.
A process category defines a group of processes. It is linked to a Process Map or a higher level Process Category. It regroups several Processes and/or other categorized elements (e.g. Value Streams, Applications). It serves as an intermediate categorization level in the process hierarchy, so as to provide a guided and progressive access to finer grained processes.A process is a set of operations performed by org-units within a company or organization, to produce a result. It is depicted as a sequence of operations, controlled by events and conditions. In the BPMN notation, the process represents a sub-process from the organizational point of view.An operation is an elementary step in process executed by an org-unit. It cannot be broken down. An operation can be industrial (manufacturing a component), logistical (receiving a delivery), or can involve information processing (entering an order).• Entities
An entity can be internal or external to the enterprise: an entity represents an organizational element of enterprise structure such as a management, department, or job function. It is defined at a level depending on the degree of detail to be provided on the organization (see org-unit type). Example: financial management, sales management, marketing department, account manager. An external entity represents an organization that exchanges flows with the enterprise, Example: customer, supplier, government office.• Applications,
An application is a software component that can be deployed and provides users with a set of functionalities.• Business Lines
A business line is a high level classification of main enterprise activities. It corresponds for example to major product segments or to distribution channels. It enables classification of enterprise processes, organizational units or applications that serve a specific product and/or specific market.