e-Controls Framework Tool

User manual (Frontend)

Table of contents

S.No Content Page

A About e-Controls Framework 3–5

B Tool workflow and screens 6 - 62

About e-Controls Framework
Overall tool workflow

Control checklists Continuous inputs for

entered in the Tool and the updation of the
mapped to the database
responsibilities

1
Automated
workflow to
enable 5
2
‘online’
control self
System based database
assessments Online review Control adequacy and
of all the Controls,
(CSA) effectiveness status using the
Owners, Approvers,
3 CSA Results and Trends dashboards, trends and MIS reports

6
4
Automated
workflow for
Uploading of revised status concluded on
approval of the
the basis of testing of CSA results
CSA

Administrator
Roles & responsibilities of different types of users
Database management
Administrator
 Update the Control master
 Update the Organization structure
master relevant for Control self
assessment (CSA)
 Update User master
 Map controls with the users and
the organization structure based
on applicability
 Set up CSA calendar, as
determined by the management
and launch periodic surveys at the
specified intervals
Survey and Reporting module
Control  Fill self assessment
Owner  Update remediation plans, if any
 Update status of remediation plans
prepared in prior periods, if any
 Approve or reject control self
Approvers
assessment filled by Control owners
 Monitor self assessment completion
 Generate MIS – Location wise/
Process wise
 Review control effectiveness status
Reviewers
through various dashboards and MIS
Tool workflow and screens
Login page

Shwetank Enter User ID,

xxxxxxxx Password and
click ‘Sign in’

User will receive a new

password in his/ her inbox
 Landing page

Different menu options

Tool workflow
Different menu options Current survey period
(User may enter any previous
roll out period by clicking here)

Menu options
Current ‘To-Do’
Other administrative
options
For directly going to
the survey checklist
 User role wise e-Control
Framework Screens

Type of Users Role & Responsibilities Hyperlink

Update Monitoring
Complete
Control Owner
CSA + Remediation
plan
+ through
Dashboard & MIS

Approve Monitoring
Approve
Control Approver
CSA + Remediation
plan
+ through
Dashboard & MIS

Monitoring
Reviewer through
Dashboard & MIS

Other Common
Functionalities
Control Owners

Back
Control Owner – Self Assessment

Control owner will click

on ‘Self Assessment’ to
see the overall CSA
status at his level

Back
Control Owner – Self Assessment Statistics display
Options as per the on ,mouse
CSA pending rollover for the
roles of the user (To-Do) status respective color

User relevant
approved
survey status
with statistics

Statistics
Link to go to
the CSA list

Link to go to
the list
Remediation plans pending (To-Do) status

Back
Control Owner – CSA list

Filter options to search a particular control Survey options

Control category/ type

 Control summary/ heading

Location Process  Control description Specify
structure structure  Control reference no. ‘Design’
adequacy
of the
control
To see approver remarks if a
control result is ‘Rejected’ Specify ‘Operational’ efficiency of the
control
(If ‘Design’ is adequate, then only
Tool will ask for ‘Operational’
efficiency of the control)

Back
Control Owner – CSA list

Survey results options

1) Mark a control as Adequate at ‘Design’ level and Efficient at ‘Operation’ level

a) User may specify remarks
b) User may attach a file

2) Mark a control as Adequate at ‘Design’ level and Inefficient at ‘Operation’ level

a) User will have to specify the reason
b) User may attach a file
c) User will have to specify a ‘Remediation plan’ along with the ‘Timeline’

3) Mark a control as Inadequate at ‘Design’ level

a) User will have to specify the reason
b) User will have to suggest a ‘New control’ for the same
c) User may attach a file

4) Mark a control as ‘NA’ for being ‘Not applicable’ in the CSA roll out period
a) User will have to specify ‘Justification’ for the same
b) User may attach a file

5) Mark a control as ‘To be deleted’ for proposing a control to be removed from the
CSA list
a) User will have to specify ‘Justification’ for the same
b) User may attach a file

Back
Control Owner – CSA list

Submit filled results for

approval

Survey
User may click the green option (1)
tick to see the earlier Mark a
filled details control as
‘Y’ for
‘Design’
adequacy

Back
Control Owner – CSA list

Survey option (1) pop-up to fill the details

 User may write remarks and/or attach a file
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list
without filling any details or cancel the filled details

Back
Control Owner – CSA list

Survey option
(1)
Mark a control
as ‘Y’ for
‘Operational’
efficiency

Back
Control Owner – CSA list

Survey option (1) pop-up to fill the details

 User may write remarks and/or attach a file
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list
without filling any details or cancel the filled details

Back
Control Owner – CSA list

Survey option (2)

Mark a control as ‘N’ for
‘Operational’ inefficiency

And

Specify a ‘Remediation plan’

Back
Control Owner – CSA list

Survey option (2) pop-up to fill the details

 User will have to write a ‘Reason’, ‘Remediation plan’ and ‘Timeline’ for the same
 User may attach a file
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or
cancel the filled details

Back
Control Owner – CSA list

Survey option (3)

Mark a control as ‘N’ for
‘Operational’ inefficiency

And

Suggest a ‘New control’

Back
Control Owner – CSA list

Survey option (3) pop-up to fill the details

 User will have to write a ‘Reason’ for marking a control as inadequate at ‘Design’ level
 User may attach a file
 User will have to suggest a ‘New control’ with summary, description, frequency, type, and category
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or cancel the filled details

Back
Control Owner – CSA list

Survey option (4)

Mark a control as ‘NA’ for not
applicable controls

Back
Control Owner – CSA list

Survey option (4) pop-up to fill the details

 User will have to specify a ‘Justification’ for marking a control as not applicable in the current roll out period
 User may attach a file
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or cancel the filled details

Back
Control Owner – CSA list

Survey option (5)

Mark a control as ‘To be deleted’ for
suggesting a control to be removed
from the CSA list

Back
Control Owner – CSA list

Survey option (4) pop-up to fill the details

 User will have to specify a ‘Justification’ for marking a control as ‘To be deleted’
 User may attach a file
 User may click ‘Save’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or cancel the filled details

Back
Control Owner – Remediation plan

Link to go to
the list
Remediation plans pending (To-Do) status

Back
Control Owner – Remediation plan Control description display
on ,mouse rollover on the
‘Remediation plan’

Option (2)

Delete a remediation plan

And

Specify ‘Justification’

 Control summary/ heading

Location Process  Remediation plan description
structure structure  Remediation plan timeline

Option (1)

Close a remediation plan

on completion of the
suggested action

And

Specify ‘Justification’

Back
Control Owner – Remediation plan

Option (1)

Close a remediation plan

on completion of the
suggested action

And

Specify ‘Justification’

Back
Control Owner – Remediation plan

Remediation plan option (1) pop-up to fill the details

 User will have to specify a ‘Justification’ for closing a ‘Remediation plan’
 User may attach a file
 User may click ‘OK’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or cancel the filled details

Back
Control Owner – Remediation plan

Option (2)

Delete a remediation plan

And

Specify ‘Justification’

Back
Control Owner – Remediation plan

Remediation plan option (2) pop-up to fill the details

 User will have to specify a ‘Justification’ for deleting a ‘Remediation plan’
 User may attach a file
 User may click ‘OK’ to fill the populated details
 User may click ‘x’ or ‘Cancel’ to return to the CSA list without filling any details or cancel the filled details

Back
Approvers

Back
Approver – Self Assessment

Approver will click on

‘Self Assessment’ to
see the overall
Approval status at his
level

Back
Approver – Self Assessment Statistics display
CSA approval
Options as per the pending (To-Do) on ,mouse
roles of the user status rollover for the
respective color

User
relevant
approved
survey
status
with
statistics
Statistics
Link to go to the
CSA approval list

Link to go to
the
Remediation plans Remediation
pending approval (To- plan approval
Do) status list

Back
Approver – CSA approval

 Control summary/ heading Owner Approval

Location Process  Control description details options
structure structure  Control category
 Control reference no.

Approver will have same options for Remediation plan approval as shown in the CSA approval section

Back
Approver – CSA approval

User can click on ‘S’ to

see the filled result
details and attachment,
if any

Back
Approver – CSA approval

Approver can see the

details filled by the
Control owner

Back
Approver – CSA approval

Option (1) to approve

and finalize the result
(No further details will
be required)

Back
Approver – CSA approval

Option (2) to reject the

result and specify
corrections required

Back
Approver – CSA approval

Approver will have to

mention correction
required for rejecting a
control result

Back
All users – Dashboard and MIS

Back
All users – Dashboard & MIS

User will click on

‘Dashboard & MIS’ to
see the company level
graph with drill down
options

Back
 All users – Dashboard & MIS Statistics display on User can click on the
,mouse rollover for the graphs to see next level
respective color drill down graphs

Overall
company level
dashboard

Control
category wise
Dashboard
breakup

User can select or deselect one or more legends to include different type of results
(Example user can include ‘NA’ and/ or ‘To be deleted’ in the above dashboard)

Same graph including ‘2 more

result categories
 ‘NA’
 ‘To be deleted’

Back
 All users – Dashboard & MIS

User can select or deselect one or more legends and control types/ categories to
filter the results accordingly

Location wise
results

Mega process
wise results

User can select or deselect one or more legends to include different type of results
(Example user can include ‘NA’ and/ or ‘To be deleted’ in the above dashboard)

Back
 All users – Dashboard & MIS

User can click on

location name to see
next level drill down

Location
tree to
click on Location
any wise
location to statistics of
see the survey
relevant results
results

Option to Option to
export see location
results in level trends
excel file

Similar breakdown or drill down options are available for the Process wise review

Back
All users – Dashboard & MIS

User can click on

location name to see
control level details

Break down
on ‘Delhi HO’
location

Back
All users – Dashboard & MIS

User can select or deselect one or more control types/ categories to filter the
User can click on survey result
results accordingly
box to see the detail filled by the
Control owner

Owner
details

Location Process  Control summary/ heading Survey

structure structure  Control description results
 Control category

Back
All users – Dashboard & MIS

Detail filled by the Control owner

visible at the last level Dashboard
drilldown

Back
All users – Dashboard & MIS

Filter option to see only the filled and approved results

Back
All users – Dashboard & MIS

Option to
see location
level trends

Back
All users – Dashboard & MIS

Period wise
Location level
trends

Similar dashboard options are there for the Remediation plan results and status
Back
All users – Other options

Back
All users – Other options

User will click on

‘Delegate Task’ to
transfer his/ her role to
some other user

Back
All users – Role delegation

 User can select a user name

and delegate his role to some
other user

 Same will have to be approved

by the Approver

Back
All users – Other options

User will click on

‘Library’ to view and/
or download the
documents

Back
All users – Document library

User will have the view and

download access the documents
uploaded by the Administrator

Back
All users – Other options

User will click on ‘Help’

to access User manual
or contact
Administrator

Back
All users – Other options

User will click on

‘Change password’ to
modify login password

Back
All users – Change password

User can change his/ her password

by specifying the existing password

Back
Thank You