PeopleSoft Enterprise Internal Controls Enforcer 9.1 PeopleBook

Defining Processes

This chapter provides an overview of the Business Process Manager component (EPQ_BP_DEFN) and discusses how to set up business processes and subprocesses.

Understanding the Business Process Manager Component

The Business Process Manager component enables you to:

Establish and maintain business processes and subprocesses.
Identify the parent-child relationships that exist between business processes and subprocesses.
Define the elements that are associated with a subprocess.
Specify which entities are associated with a subprocess.
Define the risks (and controls) that are associated with a subprocess.
Identify and store pertinent business process documents with a subprocess.
Review the priority for each subprocess.
Specify whether to include a subprocess in the sign-off process.
Create or update process instances for selected entities.

You need to define processes separately for each compliance project, because every compliance project has its own independent set of processes. However, you can copy processes from one project to another using the Copy Project component.

See Copying Compliance Projects.

PeopleSoft Internal Controls Enforcer manages two types of processes:

Business processes.

These are the main processes within an organization. They are logical groupings of subprocesses.
Subprocesses.

These are discrete components of a business process.

For example, the Manage Accounts Receivable business process could include these subprocesses:

Apply cash.
Maintain customer master.
Manage collections and write-offs.

Note. In this documentation, the term process refers to both business processes and subprocesses.

The key fields for the Business Process Manager component are the Compliance Project field, Process ID field, and the Type field (indicates the process type). The pages that appear in this component vary depending on the whether the record is a business process or a subprocess.

For business processes, you can access only these pages:

Business Process Manager - Process Definition page.

You use this page to define a process.
Business Process Manager - Subprocess page.

You use this page to identify the subprocesses that belong to a business process.
Business Process Manager - Notes page.

You use this page to enter information that you feel is important to document about the process.

For subprocesses, you can access the following pages:

Business Process Manager - Process Definition page.

You use this page to define a subprocess.
Business Process Manager - Risk/Control page.

You use this page to identify the risks associated with a subprocess
Business Process Manager - Elements page.

You use this page to identify the financial elements that the subprocess affects.
Business Process Manager - Entities page.

You use this page to identify the entities that participate in the subprocess.
Business Process Manager - Documentation page.

You use this page to identify the business process documentation to store with the subprocess.

Note. The system uses PeopleSoft Enterprise Portal Content Management pages to manage the documents.
Business Process Manager - Notes page.

You use this page to enter information that you feel is important to document about the subprocess.

You associate risks (and their respective controls) with subprocesses, and the internal control sign-offs occur at the subprocess level by subprocess owners. However, depending on how you set up the system, you can require that business process owners also must sign off on the subprocesses.

Once processes are defined, you run the Process Instance Generator Application Engine process (EPQ_INST_GEN) to create the process instance definitions. During this procedure, the system creates the database records (instances) for each process, risk, control, and test plan template by entity, and assigns the entity owner as the owner of the process instance for both subprocesses and business processes. Copies of the business process documents are generated from the master subprocess if they are specified. After the process instances are created, process instance owners can modify their individual instance definitions, if needed. Sign-offs occur at the instance level by subprocess owner and optionally by business process owner.

Although you define only the entities that are associated with each subprocess in the Business Process Manager component, the system determines which entities to associate with each business process by using the defined parent-child relationships between business processes and their subprocesses. All entities that are associated with a subprocess are automatically associated with the parent business process as well.

Common Elements Used in This Chapter

Compliance Project	The project with which a process is associated. Each project has its own set of processes.
Process ID	An identifier for a business process or subprocess.
Type	Specifies the type of business process. Options are: Business Process: Select this option if you are defining a business process. Subprocess: Select this option if you are defining a subprocess.
Parent Process	If the current record is a subprocess, this field lists the process to which it is subordinate. A subprocess must be associated with a parent process by using the Business Process Manager - Subprocesses page to create process instances.
Attribute 1, Attribute 2, Attribute 3, Attribute 4, Attribute 5, and Attribute 6	Fields for storing additional attributes that are applicable to your implementation; you can use this information to filter data in queries or reports that you create. These fields can be set up as either free-form text fields or as list boxes, depending on how you define the system preferences on the Internal Controls Enforcer General Preferences page. The labels can also be modified. See Configuring the Other Attribute Fields.

Setting Up Business Processes and Subprocesses

To establish business processes and subprocesses, use the Business Process Manager component (EPQ_BP_DEFN). Use the EPQ_BP_DEFN_CI component interface to load data into the tables for this component.

This section discusses how to:

Establish business processes and subprocesses.
Associate subprocesses with a business process.
Associate risks and controls with subprocesses.
Associate elements with subprocesses.
Associate business process documentation with subprocesses.
Assign entities to subprocesses and generate process instances.

Pages Used to Set Up Business Processes and Subprocesses

Page Name	Definition Name	Navigation	Usage
Business Process Manager - Process Definition	EPQ_BP_DEFN	Internal Controls Enforcer, Master Setup, Business Process Manager, Process Definition	Define a business process or subprocess.
Business Process Manager - Subprocesses	EPQ_BP_SBP_XREF	Internal Controls Enforcer, Master Setup, Business Process Manager, Subprocesses	Associate subprocesses with a business process. You can access this page only if the current record is a business process.
Business Process Manager - Risk/Control	EPQ_BP_RISK_XRF	Internal Controls Enforcer, Master Setup, Business Process Manager, Risk/Control	Associate risks and controls with a subprocess. You can access this page only if the current record is a subprocess.
Business Process Manager - Elements	EPQ_BP_ELEM_XRF	Internal Controls Enforcer, Master Setup, Business Process Manager, Elements	Specify the elements that are associated with a subprocess. You can access this page only if the current record is a subprocess.
Business Process Manager - Documentation	EPQ_BP_CM_LINK	Internal Controls Enforcer, Master Setup, Business Process Manager, Documentation	Specify the documentation that is associated with a subprocess. You can access this page only if the current record is a subprocess.
Business Process Manager - Entities	EPQ_BP_ENT_XRF	Internal Controls Enforcer, Master Setup, Business Process Manager, Entities	Specify the entities that are associated with a subprocess, and generate process instances. You can access this page only if the current record is a subprocess.
Business Process Manager - Notes	EPQ_BP_NOTES	Internal Controls Enforcer, Master Setup, Business Process Manager, Notes	This page contains a free-form text field that you can use to store important information about a business process or subprocess.

Establishing Business Processes and Subprocesses

Access the Business Process Manager - Process Definition page (Internal Controls Enforcer, Master Setup, Business Process Manager, Process Definition).

Enter the process ID, specify the process type, and complete the remaining fields.

Associating Subprocesses with a Business Process

Access the Business Process Manager - Subprocesses page (Internal Controls Enforcer, Master Setup, Business Process Manager, Subprocesses).

You can access this page only if the current record is a business process.

Insert rows in the Subprocesses grid to associate subprocesses with the business process.

Subprocess	Select a subprocess for each inserted row.
<subprocess description>	Displays the description of the subprocess. Click to access the Business Process Manager - Process Definition page where you can view the definition for the subprocess.
Create New Subprocess	Click to access the Business Process Manager - Process Definition page, where you can create a new subprocess definition.

Note. If you disassociate a subprocess, the system inactivates all of the associated process instances.

Associating Risks and Controls with Subprocesses

Access the Business Process Manager - Risk/Control page (Internal Controls Enforcer, Master Setup, Business Process Manager, Risk/Control).

You can access this page only if the current record is a subprocess.

Create New Risk

Click to access the Risk Definition page in Add mode, where you can define a new risk that is associated with the process.

Insert rows in the Risks group box to associate risks with the subprocess.

Risk	Select the risk to associate with the current subprocess.
<risk description>	Displays the description for the selected risk. Click to access the Risk Definition page, where you can review the details for the risk.
Priority	Displays the risk's defined priority. Values are Primary, Secondary, and Tertiary.
Controls	Displays the risk's controls. Click a control description to access the control definition page, where you can review the details for the control.

Associating Elements with Subprocesses

Access the Business Process Manager - Elements page (Internal Controls Enforcer, Master Setup, Business Process Manager, Elements).

You can access this page only if the current record is a subprocess.

Insert rows in the Elements grid to identify elements associated with the subprocess that are exposed to risk.

Element	Select an element to associate with the subprocess.
Description	Click an element's description to access the Element Definition page, where you can review the details for the element.
Ranking	Displays the applied overall ranking for each element. This is equivalent to the calculated risk ranking for the element or, if an override was specified, the override ranking value. See Element Risk Rankings.
Process Priority	Displays the priority for the process. Values are Low, Medium, and High. The system determines this value using the following logic: If any associated elements have a ranking of High, then the process priority is set to High. If there is no element with a ranking of High, but there is an element that has a ranking of Medium, then the process priority is set to Medium. If all elements in the grid are ranked Low or the grid is empty, then the process priority is set to Low.
Include in Sign-off	Select this option to include the subprocess in the internal controls sign-off procedure. Initially, this field is selected if the value for the Process Priority field is High, but you can override this to include lower priority processes or to exclude high priority processes.

Associating Business Process Documentation with Subprocesses

Access the Business Process Manager - Documentation page (Internal Controls Enforcer, Master Setup, Business Process Manager, Documentation).

You can access this page only if the current record is a subprocess.

Use the buttons within the Content Management Documents group box to add, edit, or view documents and images that pertain to the subprocess. This enables your organization to store all pertinent business process documents directly with each subprocess at the master level. The system uses PeopleSoft Enterprise Portal Content Management pages to manage the documents.

Process Narrative, Process Map, Process Metrics, Policies and Procedures, Best Practice, Other Document 1, and Other Document 2

Describes the type of document.

Once a document is attached, this description is an active link. Click the description to open the current version of the document in a separate window.

Add

Click this button to access the Enterprise Portal Content Management page that enables you to specify the type of file to add, and import the document. Once a file has been added for a document, this button changes to Edit.

Edit

Click to access the Enterprise Portal Content Management page that enables you to manage the file attachment properties for the document, download the file, or check out the file.

Once documentation has been associated with a content management document, the content type (file attachment, text or HTML, image attachment, image URL, or website URL) is fixed. To change the content type, you must first access the Enterprise Portal Content Management system to delete the content. Then you can access the Business Process Manager - Documentation page and the Add button will be available to add a different document.

Assigning Entities to Subprocesses and Generating Process Instances

Access the Business Process Manager - Entities page (Internal Controls Enforcer, Master Setup, Business Process Manager, Entities).

Assigning Entities

Insert rows in the Entities grid to identify the organization units that are associated with the subprocess.

Load All Entities	Click to populate the grid with all active entities. You can then delete any entities that are not associated with this subprocess.
Entity	Select the entity.
Owner	Displays the entity's owner. Click the owner's name to access the Send Notification page, where you can compose and send a notification to the owner.
Instance Created	A value of Yes in this field indicates that an instance already exists for the entity.
Select All	Click to select all entities in the grid.
Clear All	Click to clear all entities in the grid.

Note. If you delete an entity in the grid, the system inactivates all its associated process instances.

Creating or Updating Process Instances

Select the check box for an entity to include it in the Process Instance Generator process.

Create/Update Instances

Click this button to run the Process Instance Generator process and create (or update) instance definitions for all selected entities.

Note. If you update an existing instance by running this process, any changes previously made to the instance-level definitions are lost. The Delete Content check box, which is located on the Internal Controls Enforcer General Preferences page, controls whether existing documentation content is deleted during instance generation.

See Establishing General Preferences.