Processes – The glue that holds a system together

Processes are the cornerstones of any organization and often represent work instructions that in their entirety form the written order of the company. To be able to analyse and, if necessary, adapt processes, detailed process documentation is indispensable for companies. Consequently, the mapping of processes at ebase is subject to a high quality standard and has the character of a manual.

So far, all processes including controls have been appropriately modelled and reviewed by the audit department. In the long run, however, the mere representation of controls was not sufficient for ebase, as the company encountered the following problem:

“We had not done any controls of the controls.”

K. Hartinger

In the last year, ebase has therefore started to build up an Internal Control SystemThat necessity arose from the fact that although processes including controls were accurately defined, controls of controls were missing. The second line of defence was not properly taken into account. For this reason, in a first step, key controls were defined from the existing control activities and linked to processes. The most risky key controls were then identified, which are now subjected to an annual control test.

The following video gives you an insight into ebase’s approach regarding the integration of an Internal Control System.


“Over the years, I have found that it is usually the particularly simple things that are particularly genius.”

Karl Hartinger

Karl Hartinger has been working for the European Bank for Financial Services (ebase for short), a well-known credit institution based in Aschheim near Munich, for the past 22 years. Specialising in professional asset management, the company is already the market leader in its segment with over 1 million customers.

Mr Hartinger is the head of non-financial risk management and process management and thus responsible for process documentation, OpRisk management and – since this year – also for ICS management.

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