Sign-off Management
A sign-off is a multi-level evaluation process used to evaluate control test results of individual hierarchy elements and to aggregate them to a result at the superior hierarchy level. It passes through various hierarchical levels in a bottom-up approach. The evaluations are based on the results of control tests that were performed within a specific control period. In turn, these control tests are based on the Risk, Control, and Control test definition base elements.
Within a sign-off, the evaluation proceeds from the lowest to the highest hierarchy level. This means that the evaluation of a higher-level hierarchy element is performed only after all subordinate hierarchy elements have been evaluated.
As soon as the evaluation of a subordinate hierarchy element was completed, the role directly superior to this element in the sign-off hierarchy is informed of the status change. Simultaneously, the status of the associated control tests, issues, and deficiencies of the subordinate hierarchy element are saved and displayed in control test, deficiency, and issue statistics of the corresponding sign-off. The statistic shows the object version at the moment when the sign-off was closed. It is possible to continue editing these control tests, deficiencies, and issues.
Control tests, issues, and deficiencies created after the sign-off is closed are not added to the closed sign-off, even if they match the control period. To ensure they are assigned to the next sign-off, extend the control period of the following sign-off before it is generated.
After all subordinate hierarchy elements are valuated, the superior hierarchy element is released for the sign-off. In other words, the sign-off for superior hierarchy elements cannot begin until all subordinate hierarchy elements have been checked completely.
Only the highest sign-off hierarchy element must have a sign-off owner assigned. If no sign-off owner is assigned to subordinate sign-off hierarchy elements, the system automatically releases them for further processing.
A hierarchy level can contain both sign-off relevant hierarchy elements and hierarchy elements that are not sign-off relevant. Therefore, it is possible for the evaluation of a sign-off relevant hierarchy element to release the sign-off for the superior hierarchy element, even though there are other hierarchy elements at the same hierarchy level.
How are sign-off relevant hierarchy elements indicated?
Sign-off relevant hierarchy elements are indicated by the fact that a sign-off owner is assigned, provided that it is the topmost element of a sign-off definition and the Sign-off relevant attribute is set to Yes.
For detailed information on modeling guidelines, refer to the Modeling Conventions.