The risk control aims at preventing or reducing the occurrence of a risk. Thus, in the control analysis, procedures are available that aim to prevent, eliminate or reduce to acceptable levels, both the frequency and the severity of a risk. See how to perform a control analysis:

The control analysis screen can be accessed in several ways:

▪When saving the addition of a control to the plan structure;

▪When selecting a control in the structure and clicking on the Edit button on the toolbar.

▪If the plan already has all the controls associated with the risk in the structure, the control analysis screen may also be accessed by the third quadrant of the Management Planning menu. To do that, simply list the controls, of the plan details, and click on the side toolbar button.

If in the plan type is configured that it will undergo revision, the analysis can only be performed while the revision is in progress.

The control analysis screen will be displayed as follows:

General data

The General data tab provides a summary of key control information and current evaluation.

Control analysis: This section contains fields that display general information about the control being analyzed, for example, the control name, the upper element where the control was associated, as well as the plan where the control is being used. The fields are filled in by the system, but some of them may be edited:

▪ID #: Enter an ID # for the control analysis. If you prefer, use the arrow next to this field to generate an automatic ID #. If in the advanced options of the plan in which the control analysis is being performed, the use of identification mask has been configured; its mask will be displayed at the moment of generating the automatic ID #. The ID # generated through the mask can only be edited if the "Enable ID # change" option is checked in the advanced plan options.

▪Responsible: This field will be filled out with the user responsible for the control and can only be edited if, in the advanced options of the plan, a responsible party has not been set up for all the control analyses of the plan. In that case, enter the user responsible for the analysis.

▪Responsible team: This field will be filled in with the team responsible for the control and can only be edited if, in the advanced options of the plan, a responsible party has not been set up for all the control analyses of the plan. In that case, enter the team responsible for the analysis.

▪Automation type: Enter whether the control occurs automatically, semi-automatically or manually. For example, in a system which controls the contamination level of effluents, the control is automatic, because it occurs through a configuration and a previously defined system.

▪Control characteristic: Enter whether the control is performed only after the detection of the risk (Detective) or whether it occurs even when the risk is not imminent (Preventive).

▪Implementation: Enter the implementation level of the control in the organization: Not implemented, Partly implemented or Completely implemented.

▪Implementation date: Enter when the control was effectively implemented.

▪Measurement unit: Enter which unit of measurement will be used to measure the cost of the control being analyzed.

▪Control cost: Enter the cost of the control being analyzed.

▪Design evaluation: This field will only be displayed if, in the Design and test evaluation field, on the Evaluation tab of the plan type, the "Design" or "Design and test" option is selected. In that case, select the option corresponding to the evaluation result of the control design. Notice that the available options are those configured in the evaluation method for the design and test (simple listing), associated in the "Evaluation" tab of the plan type.

▪Test evaluation: This field will only be displayed if, in the Design and test evaluation field, of the Evaluation tab of the plan type, the "Test" or "Design and test" option is selected. In that case, select the option corresponding to the test result of the control test. Notice that the available options are those configured in the evaluation method for the design and test (simple listing), associated in the "Evaluation" tab of the plan type.

▪Description: Enter important information about the control analysis.

Controls evaluation: In this section, information related to the control evaluation will be displayed, allowing to follow the results of other evaluations. The Evaluation method field will be filled with the evaluation method associated with the plan type whose control is being analyzed. If the control has not yet been evaluated, some fields in this section will not be filled:

▪Evaluation frequency: In this field, it is possible to define the evaluation frequency of the control in question. To do that, enter the number of days, months, or years that will define the frequency with which the Control evaluation task will be generated.

▪Next evaluation: Enter when the next control evaluation should be carried out, regardless of whether there is any frequency defined.

▪Evaluation deadline: Enter the number of days that will be required for the execution of the Control evaluation task.

▪Current evaluation: This section displays the result of the last evaluation performed in the control.

Attribute

This section will only be displayed in the navigation panel if attributes are associated on the Control analysis attributes tab of the control type being analyzed. In that case, enter their values. Those attributes that are required must necessarily, have their values filled in. The blocked attributes will be filled by the system according to the default value set when associating it with the control type in question. The way to fill out an attribute varies according to the configurations established at the moment of its creation. This operation may also be performed, through the Attribute option, on the toolbar of the Structure vision.

Control test

In this section, define if the analysis in question will be subjected to the control test. To do that, check the Test control? option and configure the following options:

Test template: Select the test template to which the control analysis in question will be subjected.

Recurrence: This field is automatically filled out with the recurrence standard configured in the template of the previously selected test plan.

Test type: Classify if the test in question will be manual, automatic or semiautomatic.

Number of samples: Enter the number of samples to be analyzed during the test.

Responsible: Select the user who will be responsible for the test execution. This responsible user will receive the control test execution tasks.

Responsible team: Select the responsible team for the execution of the test. This responsible team will receive the control test execution tasks.

Next execution: Enter the date of the next test execution.

In this section, it is possible to view the incidents (SE Incident), problems (SE Problem) or workflows (SE Workflow) that originate from control analysis events, as well as add and associate new events. To do that, the following sidebar buttons are available:

	Click on this button and select the desired option: ▪Incident: Allows starting the creation of an incident. On the screen that will open, select the type that will classify the incident you wish to create. The Title and Description fields are enabled to be filled according to the configurations made in the process. Save the record. The created incident ID # will be displayed and the activities will be generated for the due responsible parties. ▪Problem: Allows starting the creation of a problem. On the screen that will open, select the type that will classify the problem you wish to create. The Title and Description fields are enabled to be filled according to the configurations made in the process. Save the record. The created problem ID # will be displayed and the activities will be generated for the due responsible parties. ▪Workflow: Allows starting a workflow. On the screen that will open, select the process that will be instantiated. The Title and Description fields will be enabled to be filled according to the configurations made in the process. Save the record. The workflow ID # will be displayed and the activities will be generated for the due responsible parties.
	Click on this button to associate an incident, problem or workflow already initialized with the control analysis. On the screen that opens, select the object type you wish to associate, and then locate and select the desired incident, problem, or workflow.
	Click on this button to delete the selected event and disassociate it from the analysis.
	Click on this button to view the event data associated with the analysis. Select the desired record before clicking on the button.

▪In order for this feature to work correctly, it is necessary that the SE Incident, SE Problem and/or SE Workflow components are part of the solutions acquired by your organization.

▪Refer to the specific documentation of these components for more information on incidents, problems, and workflows.

The association of events may be mandatory if in the control evaluation has been obtained some result that requires event, according to the configurations made in the evaluation method used. If the obtained result requires an event and one is not associated, the system will generate the Add event to control task.

Audit

This section displays the audits where the control analysis in question was associated. Click on the button to view the data of the selected audit. Remember that for this feature to work properly, it is necessary for the SE Audit component to be part of the solutions acquired by your organization.

KCI

In this section, it is possible associate indicator lists with the control analysis. In order for this feature to function properly, it is necessary for the SE Performance component to be part of the solutions acquired by your organization. On the side toolbar, the following buttons are also available:

	On the screen that will be displayed, locate and select the indicator you wish to associate with the analysis. Indicators can be located through the scorecard to which they are associated, or through a listing of indicators. After selecting the record, save your selection.
	Click on this button to delete the indicator selected in the list of records and thus disassociate it from the revision.
	Click on this button to view the details of the indicator selected in the list of records. Refer to the SE Performance component specific documentation for more information about the details of the indicator.

Action plan

In this section, it is possible to create or associate isolated action or action plans from the control analysis. In order for this feature to work correctly, it is necessary for the SE Action plan component to be part of the solutions acquired by your organization. On the side toolbar, the following buttons are also available:

	Click on this button and select the desired option: ▪Action plan: Allows creating an action plan from the control analysis. On the screen that will open, define whether to create a blank action plan or from a template. Depending on the option you have chosen, select the category that will sort the plan or template from which the plan will be created and save the selection. At this point, the data screen of the action plan structure will be presented, making it possible to configure. ▪Isolated action: Allows creating an isolated action from the control analysis. On the screen that opens, select the category that will sort the action and save the selection. At this point, the data screen of the isolated action will open for completion.
	Click on this button to associate an action plan or isolated action already created with the control analysis. On the screen that opens, select the object type you wish to associate, and then locate and select the desired action plan or isolated action.
	Click on this button to delete the association of the action plan or isolated action with the control analysis in question.
	Click on this button to view the structure of the action plan or view the isolated action data.

Refer to the specific documentation of the SE Action Plan component for more information on creating action plans and isolated actions.

Project

In this section, it is possible to carry out the association of projects that have some relation with the control analysis. In order for this feature to function properly, it is necessary for the SE Project component to be part of the solutions acquired by your organization. On the side toolbar, the following buttons are also available:

	Click on this button to associate a project with the control analysis. On the screen that will be displayed, locate and select the desired project. Save the selection after that.
	Click on this button to delete the association of the project with the control analysis in question.
	Click on this button to view the associated project data.
	Click on this button to view the associated project structure through the SE GanttChart. Refer to the specific SE Project component documentation for more information about this feature.

Survey

In this section, it is possible to carry out the association of surveys that have some relation to the control analysis. In order for this feature to function properly, it is necessary for the SE Survey component to be part of the solutions acquired by your organization. On the side toolbar, the following buttons are also available:

When clicking on this button, the system will display the following options:

▪Blank survey: When selecting this option, the system will display the screen to create a new survey, associating it with this control analysis. Refer to the SE Survey documentation for the details of how to create a survey.

▪Survey from a template: When you select this option, the screen will appear to select a template on which the new survey will be based. Refer to the SE Survey documentation for the details of how to create a survey from a template.

▪Associate: Select this option to associate an existing survey with the control analysis. On the screen that will be displayed, when clicking on this button, locate and select the desired record.

Click on this button to delete the association of the survey with the control analysis in question. Select the desired record before clicking on this button.

Click on this button to view the associated survey data. Select the desired record before clicking on this button.

Save the control analysis after entering all the necessary information.