The Control Settings page will let you configure control related settings such as Control Ratings, Control Field Configurations, Control Register Configurations, Control Custom Lists, and Control Notification Configurations.

• To access the settings page, go to Menu > Framework > Control Settings.

Open

Figure 1.1

The following settings can be configured:

This settings page enables you to define, edit, and delete the list of rating values for controls, along with the image, colour (to be used in graphs and charts), and sequence.

• To configure Control Rating settings, go to Menu > Framework > Control Settings > [Control Rating tab].

Open

Figure 2.1

To add a new Control Rating:

• STEP 1: In the 'Control Rating' tab, click on the Add New button at the top.

• STEP 2: In the popup window, enter a 'Rating Type Name'.

• STEP 3: Select an image by clicking on Upload Image to upload an image of your choice or click on Select Existing Image to select from a pre-defined set of images, which will be used throughout the system.

• STEP 5: Select a Colour from the colour palette for the Control Rating by clicking on the displayed coloured circle. This colour will be used to represent the rating in graphs and charts.

• STEP 6: Enter a sequence number to that the Control Rating will be displayed in dropdowns for selection.

• STEP 7: Click Save and confirm the new rating by clicking Yes in the confirmation box to add the new Control Rating.

Open

Figure 2.2

This settings page enables you to configure fields within the Details, Documents, Links, and Assessment (This tab is enabled only when the 'Enable Survey' setting is setup for your organisation.) tabs within the Control Details and Control Records Details pages.

• To configure Field Configuration settings, go to Menu > Framework > Control Settings > [Field Configuration tab].

Open

Figure 3.1

The following features are available in this section:

• Rearrange fields according to the order you prefer it to be displayed in the Control Detail page.

• Specify a label name to be displayed for each field in the Control Detail page.

• Specify a help text to be displayed for each field.

• Specify if the Control field is unique per record.

• Specify the visibility in the Control Detail and Control Record Detail pages.

• Specify the visibility of the field under the 'My Quick Update' page.

• Specify if the field is mandatory in the Control Detail and/or Control Record Detail pages.

In addition to the standard fields, the following fields can be customised and activated for the Control templates:

• 10 Custom text fields – Single line text

• 10 Custom text fields – Multiline text

• 20 Custom list fields – Single select list

• 5 Date fields

• 5 Numeric fields

 To rearrange the order of fields displayed in the Control Detail/Control Record Details pages:

• STEP 1: Click the Sequence column of the field you wish to change.

• STEP 2: Enter the sequence number you wish to display the field at.

• STEP 3: Click Save at the top of the page to save details.

Open

Figure 3.1.1.1

To change a Control field label name displayed in the Control Details/Control Record Details pages:

• STEP 1: Click the Label Name column of the field you wish to change.

• STEP 2: Enter the new label name to be displayed for that field.

• STEP 3: Click Save at the top of the page to save details.

Open

Figure 3.1.2.1

To add a help text to popup when hovered over a Control field in the Control Details/Control Record Details pages:

• STEP 1: Click the Help Text column of the field you wish to add a help text.

• STEP 2: Enter a help text to be displayed for that field when hovered over it.

• STEP 3: Click Save at the top of the page to save details.

Open

Figure 3.1.3.1

When Control fields are marked as 'Unique Per Record', details can be maintained uniquely for the same Control, linked to multiple Risks and Compliance records. If fields are maintained as common (not unique/unticked), these fields will appear as Read-Only and cannot be edited. These fields can be updated only via the Control Template.

• Fields will appear as Read-Only fields within the 'Control Record Detail' page accessed via the 'Control Record' grids in the Risk Assessment tab (Risk module) and the 'Control Object' (Risk Compliance module).

• If any updates are required to be made for these fields within the 'Control Record Detail' pages, it will need to be updated via the Master Control Templates in the 'Control Register'.

Open

Figure 3.1.4.1.1

Open

Figure 3.1.4.1.2

Example

• You will be able to edit these fields within the 'Control Record Detail' page accessed via the 'Control Record' grids in the Risk Assessment tab (Risk module) and the Control Object (Risk Compliance module).

• Editing these fields within a particular Risk/ Compliance Record, will not impact the same field of other Controls Linked to Risk or Compliance Records. Therefore, the details can be maintained in a unique manner against each of these individual records.

• This option will be useful if you have different divisions/users handling the Master Control Templates, Risk Controls, and Compliance Controls. This way, any changes done to a Control linked to a specific record, will not impact the other linked records or the Master Template.

Open

Figure 3.1.4.2.1

Open

Figure 3.1.4.2.2

Example

• Additionally, you can decide if you wish to maintain a combination of fields that can be maintained as Unique and Common. This way, critical fields can be configured as Common fields which will need to be maintained at a Control Template level. And the rest can be configured as Unique fields which will allow you to update these as Required via linked Risk and Compliance Records.

• Control Detail Page – This can be accessed by clicking the Control Title within the Control Register. This page will display details maintained against the Control Template.

• Control Record Details Page – This can be accessed by clicking the Control Title within the Control Record grid in the Risk Assessment tabs, and the 'Control Object' within a Compliance record. This page will display the details maintained against the Controls linked with the specific Risk/Compliance record.

• Control Record Grid – This can be accessed via the Risk Assessment tabs of Risk and the Control object within a Compliance record. This grid will let you add and link to new or existing controls to the Risk and Compliance records.

To make Control fields visible in the Control Details, Control Record Details, or Control Record Grid pages:

• STEP 1: Tick the checkboxes, next to the fields you wish to change make visible under the Control Details, Control Record Details, and Control Record Grid columns.

• STEP 2: Click Save at the top of the page to save details.

Open

Figure 3.1.5.1

To make Control fields visible in the My Quick Update page:

• STEP 1: Tick the checkboxes, next to the fields you wish to display in the My Quick Update page.

• STEP 2: Click Save at the top of the page to save details.

Open

Figure 3.1.6.1

To make Control fields mandatory or optional in the Control Details, Control Record Details, or Control Record Grid pages:

• STEP 1: Tick the checkboxes next to the fields you wish to make mandatory under the 'Mandatory' column.

• STEP 2: Untick the checkboxes next to the fields you wish to make optional under the 'Mandatory' column.

• STEP 2: Click Save at the top of the page to save details.

  Open

  

  Figure 3.1.7.1

Some fields will have a link that will open up a popup window to configure additional settings. To configure hyperlinked fields:

• STEP 1: Click the Hyperlinked field name.

  Open

  

  Figure 3.1.8.1

• STEP 2: In the popup window, configure any settings in that is required and click Save.

  Open

  

  Figure 3.1.8.2

• STEP 3: Click Save at the top of the Field Configuration page.

Open

Figure 3.1.8.3

The Documents tab for Controls can be enabled by clicking on the 'Show Tab' ON/OFF toggle button. By default this will be turned ON. This will enable a Documents tab within the Control Details and Control Record Detail pages through which documents and URLs can be added for Controls.

To enable/disable the Documents tab in the Control Details and Control Record Details pages:

• STEP 1: Click the ON toggle button next to the 'Show Tab' field, to enable the Documents tab and click OFF to disable the Documents tab.

• STEP 2: Click Save at the top of the page to save details.

Open

Figure 3.2.1

The Links tab for Controls can be enabled by clicking on the 'Show Tab' ON/OFF toggle button. By default this will be turned ON. This will enable a Links tab within the Control Details and Control Record Detail pages through which linkages can be added for Controls.

To enable/disable the Links tab in the Control Details and Control Record Details pages:

• STEP 1: Click the ON toggle button next to the 'Show Tab' field, to enable the Links tab and click OFF to disable the Links tab.

• STEP 2: Click Save at the top of the page to save details.

Open

Figure 3.3.1

The Control Assessment tab for Controls can be enabled by clicking on the 'Show Tab' ON/OFF toggle button. By default this will be turned ON. This will enable a Control Assessment tab within the Control Details and Control Record Detail pages.

To enable/disable the Control Assessment tab in the Control Details and Control Record Details pages:

• STEP 1: Click the ON toggle button next to the 'Show Tab' field, to enable the Control Assessment tab and click OFF to disable the Control Assessment tab.

• STEP 2: Click Save at the top of the page to save details.

Open

Figure 3.4.1

This setting Defines the review frequency types available for selection in the Control Review Frequency field, to generate the next review date and for review email notifications to be sent out. The type will decide what kind of frequency it is (weekly, monthly, etc.) and the type of count will decide the number of times the review is done for the selected type.

Open

Figure 4.1

• To configure Control Review settings, go to Menu > Framework > Control Settings > [Control Review Tab].

To configure Control Review:

• STEP 1: Toggle the Enable Control Review option to activate the Control Review functionality within the system.

Open

Figure 4.2

Once the Enable Control Review option is enabled, configure the following fields:

1. Next Review Date Based On
   Choose the method for calculating the Next Review Date:

   • Review Due Date – Calculates the next review date based on the scheduled due date of the previous review.

   • Actual Review Completion Date – Calculates the next review date based on the actual date the review was completed.

2. Set a Default Control Review Frequency
   Choose a default frequency from the dropdown. This will be auto-selected when a new control is created and can be changed if required.

• STEP 2: Click Add New to create a new frequency. Click Edit or Delete buttons to manage existing Frequencies.
  once the add new button is clicked a pop-up window will display where you can enter the frequency details.

  • Frequency Title – A name for the frequency (e.g., Monthly, Quarterly).

  • Frequency Type – Select whether the frequency is defined in Days, Weeks, Months, or Years.

  • Type Count – Enter the count for the frequency type (e.g., 1 Month, 3 Months).

  • Sequence – Set the display order for the frequency.

  • Status – Select whether the frequency is Active or Inactive.

Open

Figure 4.3

• STEP 3: Once the details are entered, click Save to add it to the list.

This settings page enables you to customise and configure fields displayed in the Control Register and the Control Dashboard Popup. Change label names of fields, visibility of fields, searchability in register filters, and sequence displayed in the register.

Open

Figure 5.1

The following register types will be available to be configured via this settings page:

• Control Register

• Control Dashboard Popup

Open

Figure 5.2

To edit a register configuration:

• STEP 1: Select the 'Register Type' from the dropdown at the top of the page.

• STEP 2: Configure from a list of selected standard and custom fields that are available under each control. The below properties can be set for each column or filter in these registers.

• STEP 3: Click on the Save button at the top of the page to save any changes made.

This settings page enables you to add and configure custom lists to be displayed for Controls. 

To enter in the list items:

• STEP 1: Click on a custom list title to display the list items on the right-hand side panel.

• STEP 2: Click Add New to add a new item.

• STEP 3: You can then start building the list items by entering the description, sequence, and click Save to add it to the table.

Open

Figure 6.1

This settings page enables you to configure email templates and emails for Controls.

Create Control related email templates with snippets in this section.

To create an email template:

• STEP 1: Click on the New button at the top of the page.

Open

Figure 7.1.1

• STEP 2: Fill in a title, subject, and body for the email template.

• STEP 3: To use a snippet, place the cursor in the body where you want to insert a snippet, click on Snippet icon, and select a snippet to be inserted into the email template.