CoeDeckIntro

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Slide2: 

CoeDeck is the software from Coe Consulting that unifies organisation and responsibilities, at every level, with compliance related procedures and results. http://www.coedeck.com mail@coeconsulting.co.uk phone 01225 423 238

Slide3: 

Click on underlined text to follow the link Home Page

Main Switchboard and User Access: 

Main Switchboard and User Access

CoeDeck is a multi-user system. Each user is given permissions that determine which of the seven tabs show are visible to that user. A typical user would see only the General, Work and Help tabs. Here we are looking at the page under the General tab.: 

Few users would be allowed see the Database Admin tab This user has all possible permissions CoeDeck is a multi-user system. Each user is given permissions that determine which of the seven tabs show are visible to that user. A typical user would see only the General, Work and Help tabs. Here we are looking at the page under the General tab.

Decision Trees: 

Decision Trees To Home Page

There are two Decision Tree formats: 

There are two Decision Tree formats In MD3 each ‘mother’ has three ‘daughters’ In MD7 each ‘mother’ has seven ‘daughters’

When you click on a Decision Tree button: 

When you click on a Decision Tree button You see a ‘frame’ consisting of The button’s caption Notes (always visible on the left hand side) Detailed Guidance (long text if required) An illustration (picture, live spread sheet etc.) A flying note, which appears if various pre-set date criteria are met (such as day of the month) An optional end point that takes the user to whatever needs to be done at that point.

Decision Tree End Points bridges to action: 

Decision Tree End Points bridges to action

Slide10: 

Check Case Hyperlink to fsa.gov.uk Excel data input Word doc. standard letter Pop-up any text

Decision Tree Capacity: 

Decision Tree Capacity In both formats, MD3 and MD7, you may have: Any number of screens to give A tree as wide and deep as you like Typically you might have 20 or 30 screens

Handling MD3 or MD7 Screens: 

Handling MD3 or MD7 Screens re-organise your decision tree expand or prune share data re-use material Control access for security

Decision Tree MD3: 

Decision Tree MD3 To Home Page

Slide14: 

Here is a partially completed MD3 decision tree.

Slide15: 

Here we see part of an actual MD3 decision tree. The user has reached the button ‘Financial Promotion’ and is given the choice of promotions originating : not from the UK or from the UK. The user then simply clicks on the chosen button to see the notes, detailed guidance or illustrations for that choice. The red arrow signals that there is some Detailed Guidance

MD3 End Points: 

MD3 End Points At an end point the user may be take to a Check case Hyperlink Excel spreadsheet Word document Pop Up screen A check case is an instance of using a checklist A hyperlink may take the user to a web address or may open a remote or local file such as an Adobe .pdf file

Check Case example: 

Check Case example When you create a checklist in CoeDeck, it immediately becomes available as an end point in any decision tree. When the user clicks on the button in question, he or she is taken into a Check Case where the right checklist is selected automatically, the user appears as the case owner and the date of the case is today’s date. All the user has to do is enter a title and answer the questions.

Hyperlink example: 

Hyperlink example http://www.fsa.gov.uk/handbook/legal_instruments/2003/2003_04.pdf Would take the user straight to the FSA document relevant to the part of the decision tree in question. To set this up you just go to the document, copy the hyperlink and paste into CoeDeck at ‘Application Type maintenance’

Decision Tree MD7: 

Decision Tree MD7 To Home Page

Slide20: 

Using the MD7 format to link organisation with procedures At each level the Notes and the Detailed Guidance (not visible here) spell out the responsibilities and/or procedures applicable to each part of the organisation. At any point the user may be taken to a Check Case, Hyperlink, Excel spreadsheet, Word document or Pop-Up screen.

Setting up and MD7 end point: 

Setting up and MD7 end point Here we have chosen Check Case Input, the particular checklist to be used is Bank Reconciliation: Staff A/C No. 3.

Checklist system: 

Checklist system To Home Page

This is a Checklist: 

This is a Checklist A checklist is simply a list of questions that you create for a particular purpose to use again and again

A Check Case is an instance of using a checklist: 

A Check Case is an instance of using a checklist

One of eleven Check Case reports: 

One of eleven Check Case reports You can choose any date range

Work Flow: 

Work Flow To Home Page

Job: 

Job Task Event A job is a collection of related tasks. For example :‘Bank Account Reconciliation’ A task is a single defined bit of work. For example :‘Reconcile Bank A/C No. 2’ An event is an occurrence of a task.For example :’25/02/2003 Reconcile Bank A/C No. 2 for week ended 22/02/2003’

Overcome the limitations of Microsoft Outlook: 

Overcome the limitations of Microsoft Outlook A CoeDeck task takes you to any of these actions. A task with a single question that may be answered Compliant, Non-Compliant or Minor problems. Open a Check Case, just as from a decision tree. The tasks may open a particular Excel spreadsheet, so that the user may read and/or input data The task may open a particular Word document – perhaps a standard letter appropriate to the task. The task may open a pop-up screen; it might contain a packing list of standard documents to be sent to a customer in the circumstances. You can also have simple memo, much like a Microsoft Outlook task.

Slide29: 

The user just ticks an answer box and the task has been performed

Slide30: 

Set event frequency according to perceived risk and availability of resources

Viewing Events: 

Viewing Events Events may be selected by any of the four criteria shown on the left hand side of the illustration. The example is for the intended doer Caroline Smith. For each of these four criteria, five views are available, as shown on the five buttons. ‘Thread’ is a way of connecting tasks not belonging to the same job; you might set up a thread called ‘Key Controls’ .

Send emails as event reminders: 

Send emails as event reminders CoeDeck generates a list of tasks for which you may wish to send email reminders

Benefits of Single Question and Check Case tasks: 

Benefits of Single Question and Check Case tasks The user is lead from the scheduled task (the event) straight to the necessary action(s) The results are recorded automatically The regulator should be impressed by The systematic approach that you have adopted The immaculate record keeping and management control The data integrity

Risk Management: 

Risk Management To Home Page

Job: 

Job Task Event You might have 100 or 200 risk items. Each risk item belongs to a job, from which it inherits a risk category. That job will have associated tasks that mitigate or test the firm’s preparedness to cope with the risk item happening Risk Item one Risk Category many The associated tasks will have events that timetable the checks on the firm’s preparedness

Risk Management Scoring System: 

Risk Management Scoring System Risk Management is designed to meet the requirements of a regime such as the FSA Prudential Source Book. It is based on a scoring system. You can choose your own scheme, but we recommend that you use the pre-set scoring, as shown above.

How the Scoring is Applied: 

How the Scoring is Applied Scoring only results from single question or check case task-events. If an event is overdue to start : minus100 If a check case has an unanswered question: minus 100 Otherwise, the score is that of the worst answer. one or more Non-Compliant answers : minus 100 one or more Minor Problems (but none Non-Compliant) : minus 100 all Compliant : 0 (score zero)

Traffic Lights: 

Traffic Lights You would click here to drill down and see what’s causing the red warning. That shows you a list of all the related events. -100 means that one is overdue or has a Non-Compliant answer.

Slide39: 

Monetised Risk Model $ € £ In CoeDeck a quantitative risk model is available, based on an the easy and natural idea of insurance underwriting.

Slide40: 

We choose a currency - $ € £ - a scaling factor (1, 1000, 1,000,000) and express each risk in terms of what it would cost us if the event that we want to avoid actually occurred. CoeDeck calls each of these a Risk Item and provides for it as follows:

What CoeDeck Calculates: 

What CoeDeck Calculates For the destruction of our office, the worst case gross provision is £64m less the £30m that we have insured. As averaging applies the underwriter will say that we have only 30 x 30/64 = £14.06m insured, leaving £49.94m uninsured. The probability that we have assigned is once in 100 years, so the notional residual risk is £49.94m / 100 = £499,375.

CoeDeck adds up all the annualised residual risks to provide a total notional risk that we are carrying.: 

CoeDeck adds up all the annualised residual risks to provide a total notional risk that we are carrying.

Slide44: 

Drill down to any Risk item.

Slide45: 

Everything is parameterised. Here’s where we set up probabilities. See which Risk Items have this probability of occurrence.

Slide46: 

Here’s where we set up Risk Impact bands ( a range of monetary values) See which Risk Items are in the ‘Major’ impact band.

General information: 

General information

CoeDeck as Software: 

CoeDeck as Software CoeDeck requires Microsoft Windows Windows 98 (second edition) or later Windows 2000 Windows XP CoeDeck needs some Microsoft Office 2000, 2002 or 2003 components for maximum functionality. The shared data will be on a file server. Each user will have the front end on their PC (local or remote). CoeDeck comes as either a single Setup.exe file or as an Access application (recommended) It is easy to install It offers ODBC connectivity to other databases The data tables may be password protected

http://www.coeconsulting.co.uk/ mail@coeconsulting.co.uk phone 01 225 423 238 : 

http://www.coeconsulting.co.uk/ mail@coeconsulting.co.uk phone 01 225 423 238

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