The organisation therefore embarked on a programme of implementing a cloud-based full functional process modelling and repository tool. All of their financial processes were duly converted into this tool and verified through a collaborative on-line process. It proved to be a great opportunity for them to bring their process models up to date and to ensure that all of the globally-dispersed finance team had access to the same process information.

This only provided half the solution and they recognised the need for controls and compliance management that was more tightly coupled with these processes. An enlightened process professional helped them recognise that this was the first step towards more effectively digitalizing their process of process management, with controls simply being one of the many management requirements.

They therefore agreed to be one of the pilot adopters of the BPM-D Application. The financial process hierarchy was loaded into the application with integrated references back into the process repository to the detailed process information. The process models were developed in BPMN 2.0 (Fisher, 2012) notation and included references to the required controls. This is shown in figure 13.

Figure 13: Process Model in BPMN 2.0 with Controls marked in Red

These controls are accessed through the BPM-D Application and managed against the control objectives hierarchy. All of the context information related to the controls and their management responsibility was then managed using the BPM-D Application governance module. The controls could thus be seamlessly managed by the controls administrator as shown in figure 14. The control related information is then instantly available through the cloud-based environment to the finance users globally.

Figure 14: BPM-D Application Process Controls Management in the Process Governance Module

Finance users then are assigned control related tasks that need to be performed periodically. These tasks are
simply added into the BPM-D Application task management module alongside all other process management
tasks. The application filters the tasks based on their governance profile and then makes it easy for them to display
their tasks and capture their actions against these tasks. This is shown in figure 15.

Figure 15: BPM-D Application Task Management

A central control manager then manages their area of responsibility and checks on the progress of the periodic tasks. The BPM-D application has a graphical representation of the controls status and the ability to easily identify and act on delayed or outstanding actions, as shown in figure 16.

Figure 16: BPM-D Application Task Status Monitoring

While the examples shown here for this pilot project are specific to controls management, the BPM-D application simply recognises control compliance to standards as one of the numerous process management tasks and these same modules cater for the effective process management activity across the organisation for a range of other PoPM usage scenarios.


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