Risk Control Configurations and Settings

Navigate to the Navigation Menu > Framework > Risk Settings

Then click on the ‘Field Configuration’ menu item.

This section allows Risk Administrators to customize the fields which are made visible within the different phases of risk assessments and risk control.

Screen Type Selection

A drop-down ‘Select Screen Type’ is introduced as shown above. ‘Risk’ and ‘Risk Controls’ will be included as the list items in the drop-down. By default ‘Risk’ will be selected in the drop-down displaying the existing risk field configuration screen.

When ‘Risk Control’ is selected from the drop-down list, the screen will load the Risk Control fields as below:

The field ordering is priotized to the ‘Control Detail’ screen. Control grid in risk detail assessment and control register will follow the same order as in the control detail screen (based on the field visibility).

The Label names, and field mandatory also can be configured using this screen and applied to all areas of the control feature.

The Field visibility can be configured for the following areas:

Control detail screen
Quick update (My control section)
Grid display in risk assessment screen
Control register
Search (in the control area)

Note : ‘Control title’ is ticked and disabled, and this is a mandatory field in all the above areas.

The following standard and custom field are included in the control configuration screen :

Field Name	Field Type	Required/Optional
Control Title	Text field	Required
Control Description	Multiline text field (Custom Field1)	Optional
Control Type	Drop-down Note: list items can be included from the ‘custom lists’ area	Optional
Control Owner	Staff drop-down	Optional
Control Owner Rating	Drop-down Note: Rating configured from Rating Type>Risk Control screen	Optional
Control Authorizer	Staff drop-down	Optional
Control Authorizer Rating	Drop-down Note: Rating configured from Rating Type>Risk Control screen	Optional
Control Solution Grid	Standard Solution Grid Note: Visibility can be configured in control detail and quick update	Optional
Control Review Date	Date field	Optional
Control Next Review Date	Date field	Optional
Control Comment	Multiline text field	Optional
Control Authorizer Comment	Multiline text field	Optional
Control Directorate	Directorate drop-down	Optional
Control Business Unit	Business Unit drop-down	Optional
Control Risk Register	Risk Register drop-down	Optional
Risk Code	Risk Code Note: this is non-editable and taken from the risk which the control is linked to	Optional
Risk Title	Risk title Note: this field is non-editbale and taken from the risk which the control is linked to	Optional
Risk Directorate	Directorate Note: this field is non-editable and taken from the risk which is risk is linked to	Optional
Risk Business Unit	Business Unit Note: this field is non-editable and taken from the risk which is risk is linked to.	Optional
Current Risk Rating	Risk Rating Note: this field is non-editable and taken from the risk which is risk is linked to.	Optional
10 Custom text fields	Single line text	Optional
10 Custom text fields	Multiline text	Optional
20 Custom list fields	Single select list	Optional
5 Date controls	Date fields	Optional
5 Numeric fields	Number fields	Optional

To move the fields ordering, you select the field/s ad then move the field with the arrows. You can select to move them up or down, or else move the field all the way to the top or all the way to the bottom.

When making changes to this screen, please ensure you click ‘save’ after to change your changes.

Control Directorate, Control Business Unit, Control Risk Register fields

DIrectorate, Business Unit, Service Profile fields are optional, where admin has the ability to configure. When there are more than one activated check the following;

· When higher level is in ‘please select’ then lower level field will be populated with all fields (please select to be default). E.g. when Directorate and Business Unit is activated. When Directorate field is in ‘please select’ then Business Unit field will populate all Business Units with ‘please select as default).

· When a node is selected in higher level, then lower level content will be filtered based on that selection. E.g. when a Directorate is selected, the only the Business Units attached to that Directorate will be displayed for BU field (where please select as default).

CUSTOM LIST CONFIGURATION

Please navigate to the Framework > Risk Settings > Custom Lists menu item.

The ‘Control Type’ which is a standard control field will be included here. Visibility of this field will display only when ‘Risk Control’ feature is activated. Both the existing and new custom lists can be used for both Control and Risk areas. The newly available 10 Custom Lists will be included in the risk field configuration (except for control type).

To enter in the list items, click on the custom list title and the list items will show on the right hand side. You can then start building the list items by entering the description, sequence and then clicking ‘Add’ to add it to the table.

RISK CONTROL GRID CONFIGURATION IN RISK ASSESSMENT

Navigate to Framework> Risk Settings> Field Configuration> Risk type

This allows the administrator to configure the visibility of the Control grid in the risk assessment area.

RISK CONTROL RATING

Navigate to Framework > Risk Settings > Rating Type> Risk Control Selection

For each of the Control Type rating, you may enter a name and associate an image with it which will be used throughout the system. A colour for the control rating can be selected by clicking on the colour palette and then clicking on one of the colours available.

E-MAIL TEMPLATE

Navigate to the Navigation Menu > Administration>Risk Administration>E-mail Template.

Click on the ‘add’ button to create a new risk template:

The Email template section allows you to build the actual email body that is sent to the users when the email is scheduled to go out.

The following control related e-mail snippets are included for the administrator to configure;

· Control Title

· Control Type

· Control owner

· Control Authorizer

· Control Owner original rating

· Control owner Current rating

· Control authorizer original rating

· Control authorizer Current rating

· Control solution owner

· Control solution next update

· Control solution end date

· Control solution completed date

Risk Snippets can also be added to the emails as well.

E-MAIL BUSINESS RULES

Navigate to the Navigation Menu > Administration > Risk Administration > Email.

Control related email business rules are included in the email area for administrator to configure and setup criteria for the emails to go out based on Risk Controls.

The following new business rules related to risk control feature is included;

Column	Description/Instructions
Email Timeframe	Control Solution Next Update: Allows you to define the time frame as number of days before or after the next update date entered in the solution. Select before/after from the drop-down and define the number of days in the text box. For example, if you required the email to be sent to recipients 2 days prior to the next update, select ‘before’ and enter number as ‘2’. Risk Control Creation: Selecting this option will send out an email upon creation of a risk control. Control Owner Rating Change: Selecting this option will send an email upon owner rating change. Control Authorizer Rating Change: Selecting this option will send an email upon authorizer rating change. Control Solution Creation: Selecting this option will send the email to the recipients on the day the control solution created. Control Solution End Date: Selecting this option will send an email on the date the control solution is ending. Control Solution Completed Date: Selecting this option will send an email on the date the risk solution is completing.
Recipient	Control Owner Control Authorizer Control Solution Owner
Risk Control Rating (new column)	Tick the required boxes to generate reminders only for risk controls that have the particular risk control rating/s.

Last revised: September 23, 2018