Process Control Mapping in Visio – Risk and Control Matrix Lens
Process control mapping in visio – risk and control matrix lens Most controls documentation has a credibility problem: The Risk and Control Matrix (RACM) lives in a spreadsheet. The process map lives in a diagram. They drift apart. Then the audit conversation becomes painful: • Which step does this control actually apply to? • Who owns it? • Is it preventive, detective, or corrective? • Did the process change after the matrix was approved? A practical fix is simple: Treat the process as data first. Use Visio as the renderer. With Visio Data Visualizer, a process can be stored as a dataset: • Step ID • Description • Next Step ID (connectors) • Function (swimlanes) • Phase (optional) Then create a controls lens from the same dataset. A clean starter controls lens: Function (swimlanes) = Risk category (Financial, Compliance, Cybersecurity, Quality, Safety) Phase (columns) = Control type (Preventive, Detective, Corrective) Now the diagram answers audit-grade questions at a glance: • Are controls only at the end (too late)? • Is the process over-controlled (approvals everywhere)? • Where is risk high with no control coverage? • Which teams own the controls that matter? • Where does rework happen because criteria are unclear? This is especially useful for SOX (Sarbanes-Oxley) style work and any environment where process and controls must stay aligned. Practical workflow: 1. Build or obtain the canonical dataset (Step IDs + Next Step IDs). 2. Add risk and control fields in the same workbook (risk category, control type, control owner, evidence). 3. Create a derived controls view dataset by mapping lanes and phases to risk and control classifications. 4. Render in Data Visualizer and review gaps with process owners and compliance. 5. Use Excel counts to quantify: number of controls, number of approvals, number of handoffs, number of loops. When everything is tied to Step IDs, governance gets easier: • A process change triggers a review of affected controls • Control owners are visible and auditable • Control rationalization stops being a subjective debate If converting an existing Visio diagram into the dataset format is the bottleneck, a dataset generator can create the import-ready TSV so controls mapping can start immediately. Lite can validate the workflow quickly. Standard is for when the dataset needs to scale beyond the pilot. A common pattern this lens exposes fast: Business-value work gets buried under review-by-default. Once it is visible, criteria and thresholds can replace blanket approvals. That is how cycle time drops without increasing risk. Comment “controls” if a starter template for risk categories and control types would help. #InternalControls #Compliance #Audit #ProcessMapping #Visio #GRC #RiskManagement process improvement, process mapping, operations, business analysis, workflow, visio, swimlane, automation, lean, standard work
