Template Type: Symbols

Assertions represents claims, for example by management, regarding risks, action plans and accounts. The Assertion can be linked to Accounts and Control Activities. They are linked to risks through Control Activities, which represents the risk’s remedial action plans.

The Assertion can be described using its description field.

The purpose of the Account template is to enable Financial Risk Management as documented in the Account Context Diagram.

The Account can in its properties be described with:

• a text description
• an account number
• a type (“Profit and loss” or “Balance Account”)
• link to a responsible Organization Unit
• description of purpose
• dates from which the account is valid from and to
• the currency of the amounts in the account
• the opening balance of the account
• the closing balance of the account
• the amount of the movements on the account
• a assessment of the account’s significance
• a rationale behind the account’s significance assessment
• furthermore, the account can be decomposed into several other accounts

The template can without graphics be linked to other objects under the “Risk – Influences” tab in their properties:

As such, the Account template is linked to objects the same way as the Financial Statement template:

The Purpose of the Control Deficiency template is to register a shortcoming of a Control Activity.

The Control Deficiency is used for managing Risk. It can be described with:

• Date of observation
• Type of deficiency
  • Design (if the control is not designed properly)
  • Operating (if the control is designed properly, but not performed correctly)
• Significance (High, medium or low)
• Observation – description of the deficiency in further detail and/or link to relevant documentation.
• Link to related process
• Link to the Control Activity it concerns.
• Description of any immediate actions taken
• Link to the person who registered the Control Deficiency
• Link to other Control Deficiency if it is not the first time it occurs.
• Description of presumed cause of the deficiency
• Description of the presumed consequence of the deficiency
• Recommended actions and their estimated cost and resource requirement

The Recommended action can also be registered in the form of a Corrective Action.

The Risk template is used for Risk Management purposes and can be linked to all objects in the repository. The Risk template supports the evaluation and continuous handling of the risk.

The Risk can be scored manually on its main tab: “Risk”, where it can also be given a Short Description, Type and Cause:

If you want to score the risk according to more specific categories, you can do so in under the Scoring tab:

You link a risk to the activity it concerns under the “Concerns” tab. Once it has been inserted here, the risk will appear as a “backwards relation” to the Activity. You can also create the risk from the activity and create the backwards relation automatically by using the inherent risk tab on the Activity and click on “Create risk”:

From the Risk-Control tab of Activities, you can also link to the risk. This link indicates that the Activity acts as a mitigating control for the risk. As such, there are two ways a risk can be linked to an activity: either as the activity where the risk is prevalent, or as the control activity that mitigates the likelihood or impact of the risk occurrence:

For more information about how to document Risks in QualiWare:

• Risk Management | QualiWare Center of Excellence

The Evaluation template is used for evaluating the effectiveness of a Control Activity.

In it, you can document findings in the form of Non-Conformances, Control Deficiencies and Change Requests. You can link to involved parties in the form of Organization Units, Persons and Business Connections, and link to the Responsible in the form of a Person. The conclusion results in the control activity be found either effective or ineffective. Clarifying concluding comments can be added.