Defining Process Ownership
White paper prepared by Codel
Purpose of this Paper
This document sets out an approach to completing the
Process and Owner signoff deliverable.
This will allow project/programme management,
business/sponsors and audit to assess the fit of such deliverables against
their respective requirements.
Given that SOX is a significant motivation to
formalised business process definition, this document describes some of
the ways to ensure SOX compliance.
Note: for details on how to obtain the template
for this deliverable, please visit the
Objectives of Process and Owner Deliverable
The process and owner template must satisfy the
To formalise the acceptance of the process and
embedded controls by the nominated process owners.
To provide a consistency of approach to allow the
owners to clearly see what it is they are signing off on, and to asses
the impact on their existing processes
To minimise later re-engineering of process
documentation to make them “SOX” compliant
To ensure that key project deliverables are SOX and
internal audit compliant
This deliverable (and its template) will not seek to
| It will not detail how the process is to be implemented – i.e.
other than highlighting any steps that SOX needs to be shown, the
detailed process steps are not shown. |
|The technology to requirements to support the process. Given that
technology primarily governs how the process is to be implemented it
need not specifically be included at this stage unless the usage of a
particular technology is an embedded business responsibility|
|It will not detail how the controls are to be designed.|
Process owners will formally accept responsibility
for the process and controls once they sign-off the completed template.
| It is therefore assumed that there is a formal governance
framework to enforce this (i.e. through steering committee) |
Emphasis of deliverable
Because this deliverables main purpose is to set who
the owner is the process, how this process is designed is not material at
this stage. This solution “neutral” view allows processes defined and
owner assigned before the design actually occurs – effectively separating
the “what” from the “how” – since the owner is primarily interesting in
The “how” will be covered in the process design
deliverables, which is itself a separate sign off later in the project.
© 2002-2007 Codel Services Ltd
This paper has been prepared
by Codel Services Ltd to illustrate how structured business
modelling can help your organisation. Codel Services Ltd is an IT
Consultancy specialising in business modelling. If you would like further
information, please contact us at: Deryck Brailsford, Codel Services Ltd,
Dale Hill Cottage, Kirby-Le-Soken, Essex CO13 0EN,United Kingdom.
Telephone: +44 (0)1255 862354/Mobile: + 44 (0)7710 435227/e-mail: firstname.lastname@example.org