WRITTEN RULES OF PROCEDURE
The modern solution for the management of directives in financial institutions
Financial institutions must demonstrate a functional and adequate system for managing directives; an organization manual in the form of a “Written Rules of Procedure” (WRP) is needed. DHC VISION supports the digital document management system for the WRP. In this way, legal requirements are met and proper business operations are ensured.
The requirements for the “Written Rules of Procedure” (WRP) come from the German Federal Financial Supervisory Authority (Bafin). They oblige financial institutions to create and maintain documented instructions, guidelines or process descriptions for all activities. Therefore, the WRP contains a large number of documents, process descriptions and related information. It is a huge effort to manage such documents on paper and by hand. Errors happen; operations as well as internal quality management and auditing units face major challenges. Business operations of the institution may be disrupted; negative consequences for the environment or customers are not excluded. Digital and automated processes offer greater security.
DHC VISION’s digital document management system (eDMS) ensures that instructions and guidelines can easily be created, reliably checked, comprehensibly approved, accurately released and distributed to the appropriate addressees. Its digital management processes are fully automated. Dashboards and a comprehensive reporting system provide the perfect overview of the current status of document management, validity and ongoing processes. The eDMS is part of an integrated management system that also supports training management and the management of (business) processes.
Compact information on all processes related to controlled documents and the complete range of functions are available in the factsheet on DHC VISION COMPLAINT Management.
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All options at a glance
- Modeling of the process landscape with integration of all relevant company information
- Process pyramid from the enterprise process to the process step
- Common modeling methods for mapping the process and organizational structure (including process map, EPC, BPMN)
- Level-specific definition of process methods
- Modeling via drag & drop with preset shapes
- MS VISIO
- Database- and method-supported modeling
- Reuse of objects
- Customizable attribute sets
- Workflows for process publication
- RACI methodology
- Easy navigation and drill-down to models
- Seamless integration of suggestions on documents, risks and improvements
- Comprehensive DMS for integrated, process-oriented management of standard documents
- Provision of standard document types
- Customizable document templates
- Upload and editing of any document format
- MS Office integration
- Audit-proof filing of documents in freely definable structures
- Import of existing guidelines etc.
- Best-practice workflows for release, suspension, invalidation, validity extension, reactivation or archiving
- Real-time publication
- Complete document reference and where-used lists
- Intelligent processing of document-related suggestions for correction
- System-supported monitoring of the validity of standard documents
- Versioning and historization
- Collaborative commenting
- Automatic PDF conversion
- Target group oriented information distribution (for information / for attention)
- Integration option of the DHC VISION training management for the implementation of closed loop document life cycle processes
- Documentation of operational and strategic risks incl. pre-defined attribute set
- Reference catalogs for risks, measures and controls
- Quantitative and qualitative risk assessment
- Determination of the strategy for dealing with risks
- Generation of risk maps for processes, organizational units and IT applications
- Determination of risk dependencies and creation of a risk pyramid incl. aggregation and consolidation of risks
- Generation of risk portfolios
- Automatic generation of risk heat maps incl. gross and net comparison
- Control of risks by defining and assigning suitable measures, controls or via guidelines
- Workflow-supported processing of optimization or implementation measures
- Reminder and escalation mechanisms
- Reactive triggering of workflows upon risk occurrence
Continuous improvement process
- Suggestions for improvement of processes
- Suggestions for corrections of documents
- Evaluation of suggestions
- Notification of the document or process owner when a suggestion is received
- Graphical visualization for the author if suggestions are still open
- Planning and definition of implementation deadlines
- Automatic status management
- Initiation of optimization or implementation measures
- Workflows for action control
- Integration possibility of the DHC VISION CAPA Management
Norms, standards and laws
- Easy mapping of norms, standards or laws, their chapter structure and, if applicable, content
- Intuitive navigation through norms
- Use of chapters as master data
- Multi-perspective display of all objects related to a norm
- Update functions for convenient updating of norms at the touch of a button
- Life-cycle management of conformity with norms, incl. evaluation functions to reflect the conformity status and the up-to-dateness of norms, and monitor the completeness of the assignment of all processes and documents
Multisite und Multilanguage
- Intelligent client concept for the international context
- Methodology for harmonization and standardization of processes
- Intelligent variant management
- DE and EN as delivery standard
- Language packages for international use (unicode-enabled)
- Special translator profiles
- Translation workflows for formal release of language variants
- Easy switching between languages
Monitoring / Surveillance and search
- Standard reports on the status of processes, organizational charts, documents, notices, change proposals, (paper) copies or for planning resubmissions and revisions
- RACI matrix for analysis and representation of responsibilities (of one or more processes)
- Process model comparison and variant comparison
- Reports for staffing and activity-based costing
- Detailed process reporting
- Selected reports with direct output to MS Excel
- High-performance cognitive search with context-sensitive prioritization of search results
- Comprehensive full text search with a variety of filter functions
Events, notifications, communication
- Notification Event Modeling Framework for automated, accurate and timely notification of people, roles/groups or systems about the status value of definable events such as date, threshold, metric, new document versions.
- Flexible and appealing design of notifications (including HTML); also multilingual, to different recipient systems (email, social media, mobile gadgets etc.
- Rules and communication by creating messages along role-based interests and views (user view, organizational view, compliance view).
- All notifications are subject to an audit trail
- Full traceability of who was informed about what, when, with what content
Analytics and Business Intelligence
Role-specific dashboards with standard apps and relevant information
- Number of company processes, business processes and detailed processes incl. visualization of the localization (clients) as well as display of the respective status.
- Drilldown to a single process with status information on version, process type, valid from/to and details on the number of upstream processes, existing process models, documents or subsequent processes (each including navigation option)
- Quickview of the process
- Access to the process cockpit with all process-relevant information
- Number of documents and their status, breakdown by document type and number of documents per document type.
- Overdue management: validity of documents incl. 90 days forecast display
- Drilldown to the level of individual documents with status information on version, life cycle status, document type, last change, my role and details such as number of references, attachments, variants or language versions
- Quick view of the single document and applicable attachments
- Direct access to the document with a view of all multi-perspective core information such as applicable attachments, proposed changes, version history, distribution list, status for acknowledgement (persons, deadline, target date, completion date), references, comment documents, where-used list, change history, access to older versions
Improvements and standards
- Number of processes, number of improvement potentials, number of measures
- Presentation of the status of processes (in progress, completed)
- Overview of relevant norms, standards and laws
- Presentation of standard-related content with assigned processes and documents, upcoming/ongoing audits as well as documented findings and ongoing measures
- Visualization of the average expected loss value as well as the total sum of all expected loss values
- Number of released risks and in their respective processing status
- Graphical representation of the number of initiated measures to reduce risks and in their respective processing status
- Drilldown with list-like view of the respective risks with their value, type and assigned measures
Compliance and security / safety
- Audit-proof storage
- Fine-grained authorization concept for compliance with the highest security standards
- Timely reminders before deadlines expire
- Triggering of escalation when critical points in time are reached
- Encryption of information objects
- Deactivation and reactivation of user accounts
- Secure creation, review and approval of all documents
- Electronic signatures
- Status management and system-supported calculation of validity and archive duration
- Target group-specific distribution of new / changed documents
- Seamless integration with DHC VISION TRAINING (optional)
- Simple customer-specific adaptation of release workflows
- Task distribution to a personal task overview as well as via e-mail
- Systematic procedures for invalidation, validity extension, re-activation and archiving of documents
- Consistent change and version history
- Comprehensive reports and dashboards for monitoring
- Allocation of relevant training content via training areas and training profiles
- Flexible target group definition
- Adaptive planning of classroom training and training units
- Automatic creation of skillsets per training profile
- Intelligent calculation of re-qualifications and automatic submission
- Differentiated tests to check comprehension
- Use of interactive question/task types
- Determination, analysis and documentation of training success
- Training status of the organization by groups, roles or employees
- Role-specific training dashboards for senior management as well as trainers
- Design of a consistent process landscape
- Hierarchical mapping of organizational structure and process organization
- Comprehensive selection of modeling methods
- Modeling via drag & drop with preset shapes
- Database and method-supported modeling
- Re-use of objects (jobs, roles, IT systems, etc.)
- Automatic generation of organizational and process instructions
- Real-time publication of model graphics
- Graphical navigation over the organization and process models
- Seamless integration of suggestions on documents, risks and improvements
Insight into our costumer relations
“Embedded in the intranet of the DREWAG and ENSO group of companies, DHC VISION offers a group-wide tool for recording, coordinating, approving and documenting regulations. Thus, more transparency as well as shorter processing times in the entire document life cycle are achieved.”
Die DREWAG – Stadtwerke GmbH
Validation and compliance consistently in view
DHC VISION is specially designed for use in highly regulated industries. The solution fulfills GxP guidelines and directives of the FDA, EMA, PIC/S or ICH, as well as 21 CFR Part 11, for both technology and business processes. The Validation Package is available for system validation; it consists of “Validation Accelerators” (complete documentation set for validation) and Validation Services for adapting the documentation to a specific system configuration.
Documantation as well as automated execution and testing of controls. An indispensable part of professional GRC management.
The perfect and seamlessly integrable addition to SOP management. Digital processes set new standards in “Training Compliance”.
One of the most advanced information security management systems on the market. The ISMS processes are fully digitized; they follow ISO27001 or the German BSI standard.
Indispensable for an integrated management system. An entirely digital and user-friendly audit process. The ideal addition to the other quality modules.
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DHC VISION the modern solution for set guidelines of financial institutions
Banks, insurance companies and financial institutions in general are required to demonstrate that they have a functioning and appropriate...
What are “Written Fixed Rules”?
“Written Fixed Rules” include documents and regulations on the organizational structure resp. the structural and procedural set-up of an institution, financial institutions, in particular (banks, insurance companies, etc.). “Written Fixed Rules” also include guidelines, work instructions and procedural instructions. It is important that this information is always kept up to date and made readily available to the employees of the organization.
What are the essential components of “Written Fixed Rules”?
An essential component of “Written Fixed Rules” is the documentation of the organizational and process organization, which is required for legally compliant business operations. The organizational structure is usually documented in the form of organizational charts; it describes the relevant positions, roles, and organizational areas in an institution. The process organization is documented using hierarchically structured business process models. Starting from the enterprise process map to the detailed processes, business processes are documented and linked to jobs, roles, and organizational areas. In addition, relevant standard documents are related to the organizational structure and to processes.
What are the advantages of implementing a digital system of “Written Fixed Rules”?
If “Written Fixed Rules” are implemented together with a software solution, the organizational charts and process flows can be made available to employees online in a navigable form. Employee select their job or role and receive a direct overview of their tasks and responsibilities. Relevant guidelines and standard documents are assigned to the processes; they can be accessed directly without media disruption. The software solution automatically initiates the regular review of content to ensure that it is up to date. Changes and innovations are automatically propagated to the predefined group of addressees upon publication.