Automated framework for managing process controls to improve system performance
The disclosed implementations include a computer-implemented method of a controls framework to monitor multiple controls of multiple processes. The method can include linking the multiple controls in a hierarchical arrangement with and obtaining information about compliance by a particular subsystem, a particular process, or a particular sub-process of the organization with a particular control. The method can further include generating a risk measure for the organization based on information about a quantity of controls, types of control, failure, or noncompliance with the particular control and communicating, by the central management component to a computing device coupled to the system, at least an indication of the risk measure.
1 . A process-control system for uniform monitoring of computer-implemented controls associated with different domains of an organization, the process-control system comprising:
one or more processors; and
memory comprising instructions that, when executed by the one or more processors, cause the process-control system to:
generate a hierarchical map of one or more operational processes implemented for the organization, the hierarchical map including a plurality of hierarchical levels that each identify (i) operational processes, or (ii) operational sub-processes within an operational process or sub-process defined in a higher hierarchical level,
wherein each level indicates an end-to-end lifecycle order of the operational processes or sub-processes identified by each level, and
wherein the one or more operational processes correspond to a plurality of computer-implemented controls associated with two or more domains of the organization;
generate, using a translation table that identifies computer-implemented controls originating from different domains with overlapping actions over a common operational process or sub-process implemented for the organization, one or more uniform control identifiers representing subsets of computer-implemented controls from the plurality of computer-implemented controls associated with two or more domains that correspond to the one or more operational processes of the hierarchical map;
determine a hierarchical arrangement for the plurality of computer-implemented controls via linking each of the one or more uniform control identifiers to a corresponding operational process or sub-process in the hierarchical map;
determine a risk measure for the organization based on determining whether each operational process and sub-process is linked with uniform control identifiers that comprise an optimized number of computer-implemented controls of the hierarchical arrangement, the optimized number corresponding to a respective hierarchical level of the hierarchical arrangement for the uniform control identifiers linked to each operational process and sub-process;
display, at a user interface enabling user management of the plurality of computer-implemented controls, the determined risk measure and a corresponding graphical representation that maps the one or more uniform control identifiers to the linked operational processes or sub-processes in the hierarchical map based on the hierarchical arrangement; and
responsive to user selection of a user-selectable interface element linked to the corresponding graphical representation, generate for display, at the user interface, a set of graphical indicators that visually groups the one or more uniform control identifiers and the corresponding subsets of computer-implemented controls based on the two or more domains of the organization.
2 . The process-control system of claim 1 , wherein the risk measure is further determined based on comparing a number of computer-implemented controls linked to a given operational process or sub-process with a number of production issues experienced by the given operational process or sub-process.
3 . The process-control system of claim 1 , wherein the instructions further cause the process-control system to:
generate a topological workflow map that describes flows between the operational processes and sub-processes;
co-locate a reference to a computer-implemented control with an operational process or sub-process in the topological workflow map based on the computer-implemented control being linked to the operational process or sub-process; and
switch from the display of the hierarchical map to a display of the topological workflow map.
4 . The process-control system of claim 3 , wherein the reference to the computer-implemented control indicates whether the computer-implemented control is a systemic control or a user-defined control and further indicates a unique identifier number for the computer-implemented control.
5 . The process-control system of claim 3 , wherein the instructions further cause the process-control system to:
in response to a user interaction with the reference to the computer-implemented control, further switch from the display of the topological workflow map to a display of documentation information for the computer-implemented control.
6 . The process-control system of claim 1 , wherein the risk measure indicates an effect of a given computer-implemented control on an operational process or sub-process that is different than a given operational process or sub-process to which the given computer-implemented control is linked.
7 . The process-control system of claim 1 , wherein the instructions further cause the process-control system to:
in response to a failure output of a given computer-implemented control, report, to a user, downstream effects of the failure output that are determined based on the end-to-end lifecycle order indicated within the hierarchical map.
8 . A computer-implemented method for uniform monitoring of computer-implemented controls associated with different domains of an organization, the computer-implemented method comprising:
generating, via at least one processor a hierarchical map of one or more operational processes implemented for the organization, the hierarchical map including a plurality of hierarchical levels that each identify (i) operational processes, or (ii) operational sub-processes within an operational process or sub-process defined in a higher hierarchical level,
wherein each level indicates an end-to-end lifecycle order of the operational processes or sub-processes identified by each level, and
wherein the one or more operational processes correspond to a plurality of computer-implemented controls associated with two or more domains of the organization;
generating, via the at least one processor and using a translation table that identifies computer-implemented controls originating from different domains with overlapping actions over a common operational process or sub-process implemented for the organization, one or more uniform control identifiers representing subsets of computer-implemented controls from the plurality of computer-implemented controls associated with two or more domains that correspond to the one or more operational processes of the hierarchical map;
determining, via the at least one processor, a hierarchical arrangement for the plurality of computer-implemented controls via linking each of the one or more uniform control identifiers to a corresponding operational process or sub-process in the hierarchical map;
determining, via the at least one processor, a risk measure for the organization based on determining whether each operational process and sub-process is linked with uniform control identifiers that comprise an optimized number of computer-implemented controls of the hierarchical arrangement, the optimized number corresponding to a respective hierarchical level of the hierarchical arrangement for the uniform control identifiers linked to each operational process and sub-process;
displaying, via the at least one processor and at a user interface enabling user management of the plurality of computer-implemented controls, the determined risk measure and a corresponding graphical representation that maps the one or more uniform control identifiers to the linked operational processes or sub-processes in the hierarchical map based on the hierarchical arrangement; and
responsive to user selection of a user-selectable interface element linked to the corresponding graphical representation, generating, via the at least one processor, for display, at the user interface, a set of graphical indicators that visually groups the one or more uniform control identifiers and the corresponding subsets of computer-implemented controls based on the two or more domains of the organization.
9 . The method of claim 8 , wherein the risk measure is further determined based on comparing a number of computer-implemented controls linked to a given operational process or sub-process with a number of production issues experienced by the given operational process or sub-process.
10 . The method of claim 8 , further comprising:
generating a topological workflow map that describes flows between the operational processes and sub-processes;
co-locating a reference to a computer-implemented control with an operational process or sub-process in the topological workflow map based on the computer-implemented control being linked to the operational process or sub-process; and
switching from the display of the hierarchical map to a display of the topological workflow map.
11 . The method of claim 10 , wherein the reference to the computer-implemented control indicates whether the computer-implemented control is a systemic control or a user-defined control and further indicates a unique identifier number for the computer-implemented control.
12 . The method of claim 10 , further comprising:
in response to a user interaction with the reference to the computer-implemented control, further switching from the display of the topological workflow map to a display of documentation information for the computer-implemented control.
13 . The method of claim 8 , wherein the risk measure indicates an effect of a given computer-implemented control on an operational process or sub-process that is different than a given operational process or sub-process to which the given computer-implemented control is linked.
14 . The method of claim 8 , further comprising:
in response to a failure output of a given computer-implemented control, reporting, to a user, downstream effects of the failure output that are determined based on the end-to-end lifecycle order indicated within the hierarchical map.
15 . At least one non-transitory computer-readable storage medium comprising instructions that, when executed by at least one processor of a computing system for uniform monitoring of computer-implemented controls associated with different domains of an organization, cause the computing system to:
generate a hierarchical map of one or more operational processes implemented for the organization, the hierarchical map including a plurality of hierarchical levels that each identify (i) operational processes, or (ii) operational sub-processes within an operational process or sub-process defined in a higher hierarchical level,
wherein each level indicates an end-to-end lifecycle order of the operational processes or sub-processes identified by each level, and
wherein the one or more operational processes correspond to a plurality of computer-implemented controls associated with two or more domains of the organization;
generate, using a translation table that identifies computer-implemented controls originating from different domains with overlapping actions over a common operational process or sub-process implemented for the organization, one or more uniform control identifiers representing subsets of computer-implemented controls from the plurality of computer-implemented controls associated with two or more domains that correspond to the one or more operational processes of the hierarchical map;
determine a hierarchical arrangement for the plurality of computer-implemented controls via linking each of the one or more uniform control identifiers to a corresponding operational process or sub-process in the hierarchical map;
determine a risk measure for the organization based on determining whether each operational process and sub-process is linked with uniform control identifiers that comprise an optimized number of computer-implemented controls of the hierarchical arrangement, the optimized number corresponding to a respective hierarchical level of the hierarchical arrangement for the uniform control identifiers linked to each operational process and sub-process;
display, at a user interface enabling user management of the plurality of computer-implemented controls, the determined risk measure and a corresponding graphical representation that maps the one or more uniform control identifiers to the linked operational processes or sub-processes in the hierarchical map based on the hierarchical arrangement; and
responsive to user selection of a user-selectable interface element linked to the corresponding graphical representation, generate for display, at the user interface, a set of graphical indicators that visually groups the one or more uniform control identifiers and the corresponding subsets of computer-implemented controls based on the two or more domains of the organization.
16 . The at least one non-transitory computer-readable storage medium of claim 15 , wherein the risk measure is further determined based on comparing a number of computer-implemented controls linked to a given operational process or sub-process with a number of production issues experienced by the given operational process or sub-process.
17 . The at least one non-transitory computer-readable storage medium of claim 15 , wherein the instructions further cause the computing system to:
generate a topological workflow map that describes flows between the operational processes and sub-processes;
co-locate a reference to a computer-implemented control with an operational process or sub-process in the topological workflow map based on the computer-implemented control being linked to the operational process or sub-process; and
switch from the display of the hierarchical map to a display of the topological workflow map.
18 . The at least one non-transitory computer-readable storage medium of claim 17 , wherein the reference to the computer-implemented control indicates whether the computer-implemented control is a systemic control or a user-defined control and further indicates a unique identifier number for the computer-implemented control.
19 . The at least one non-transitory computer-readable storage medium of claim 17 , wherein the instructions further cause the computing system to:
in response to a user interaction with the reference to the computer-implemented control, further switch from the display of the topological workflow map to a display of documentation information for the computer-implemented control.
20 . The at least one non-transitory computer-readable storage medium of claim 15 , wherein the risk measure indicates an effect of a given computer-implemented control on an operational process or sub-process that is different than a given operational process or sub-process to which the given computer-implemented control is linked.