General parameters of SoftExpert Risk
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Prerequisite
- Access to the Configuration > General parameters (RI110) menu.
Introduction
The General parameters menu allows you to define the component's default settings, applicable to all records registered in the system.
These settings standardize and facilitate the use of available resources, ensuring greater consistency in risk management.
See how to configure the general parameters of SoftExpert Risk:
Configure general parameters
1. Access the Configuration > General parameters (RI110) menu.
2. Make the necessary configurations in each section. The following sections are available:
Record
In this section, it is possible to establish parameters related to the registration of the risk, control, and opportunity library.
- Include justification when deactivating a risk: by selecting this option, it will be necessary to provide a justification whenever a risk is deactivated.
- Include justification when deactivating a control: by selecting this option, it will be necessary to provide a justification whenever a control is deactivated.
- Include justification when deactivating an opportunity: by selecting this option, you will need to provide a justification whenever an opportunity is deactivated.
For more information about registration, please visit:
Risk and opportunity
In this section, you can define the parameters related to risks and opportunities.
- Analysis with a single evaluation method: select this option if you wish to use only one evaluation method for risk and opportunity analysis. When enabling this option, you will need to choose the evaluation method to be used.
It is not possible to enable the field above while there is more than one evaluation method defined for risk and opportunity analyses.
- Check the Requires workflow parameter for the residual result: by selecting this option, the system will check if the residual result requires the use of workflow.
- Check the Requires treatment parameter only for the residual result: enable this option so that the system requires treatment only for the residual result.
- Check the Requires action plan parameter only for the residual result: enable this option so that the system requires an action plan only for the residual result.
- Check the Significant parameter only for the residual result: enable this option if the system should consider the residual result as the basis for determining the significance of the risk.
- Allow manual editing of the Significant field: Enable this option to allow manual editing of the Significant field in risk and opportunity assessments.
- Display current assessment: when this option is enabled, the system will automatically display the most recent assessment of the risk or opportunity.
- Do not allow changes to the assessment date: check this option to prevent modification of the registered date for the assessment.
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Use identification mask for risk/opportunity analyses: select this option to apply a formatting mask to the identification of risk and opportunity analyses, ensuring standardization in the records. When enabling this option, you will need to choose the mask to be used.
- Allow changing identifier: select this option to enable changing the mask identifier.
In the risk and opportunity section, you can also include the residual formula. To do this, click on Residual Formula and then on Include.
For more information on risk and opportunity, visit:
Control
In this section, you can define the parameters related to risk control.
- Control analysis with a single evaluation method: select this option if you wish to use only one evaluation method for the control analysis. When enabling this option, you will need to choose the evaluation method to be used.
- Make the evaluation method field mandatory in the control: enable this option to require the evaluation method field to be filled in.
If there are control analyses that require an evaluation method, the system will display a message and will not allow this setting to be changed until all analyses are associated with an evaluation method.
- Disable the control implementation field: By selecting this option, the implementation field will be disabled in the control's registration.
- Make the implementation field mandatory in the control: select this option to make filling in the implementation field mandatory when registering a control. When enabling this option, it will be necessary to choose the option you want to change the implementation of for all controls.
- Make the automation type field mandatory in the control: enable this option to require the Automation Type field to be filled in when registering the control. When this option is enabled, you will need to choose the option you want to change the automation type for all controls.
- Make the control characteristic field mandatory: By selecting this option, filling in the Control Characteristic field will be mandatory in the control registration.
- Make the attendance field mandatory in the control: enable this option to require the attendance field to be filled in during the control registration.
- Do not allow changes to the control assessment date: select this option to prevent modification of the date recorded in the control assessments.
- Use identification mask for control analysis select this option to apply a formatting mask to the identification of control analyses, ensuring standardization in the records. When enabling this option, you will need to choose the mask to be used.
- Allow changing identifier: select to enable changing the mask identifier.
At the bottom of the Control section, you can register the characteristics and frequency of the control, which will be available when registering new controls.
For more information about control, visit:
Plan
In this section, you can define the parameters related to the risk and control plan.
- Context: When a context is selected, new plans will be created with this field automatically filled in.
- Line break in structure: enable this option to display line breaks.
- Include a justification when deleting the analysis: by selecting this option, the system will require a justification to be provided whenever a risk analysis is deleted.
- Include a justification when deleting a control analysis: Enable this option so that the system requests a justification when deleting a control analysis.
- Make the business unit field mandatory in the plan: select this option to require the Business Unit field to be filled in when registering a risk or control plan.
- Allow evaluation only during the review drafting stage: check this option to restrict evaluations to the drafting stage within the review workflow.
- Block the evaluation that has been approved in the review: by enabling this option, evaluations that have already been approved can no longer be edited.
- Block plan approval when treatment has no associated action: enable this option to prevent plan approval if the treatment is not linked to any action.
For more information on risk and control plans, please visit:
Treatment
In this section, you can define the parameters related to risk management.
- Treatment Response (Simple Listing): Select the treatment response to be used. When you choose an option, the Allow changing treatment response in analysis field will be enabled.
- Associate treatment with: define whether the treatment will be associated with an analysis or an evaluation.
For more information on risky treatment, visit:
Tasks
In this section, you can activate and deactivate the SoftExpert Risk execution and monitoring tasks. The available tasks are:
| Execution tasks | Follow-up tasks |
| Inclusion of control | Risk analysis |
| Inclusion of treatment | Control analysis |
| Decision tree response | Assessment action plan |
| Action closure notice | Control assessment action plan |
| Monitoring of control tests |
For more information about the tasks, visit:
3. After making all the desired settings, click the button 
to save the configurations.
Conclusion
The settings applied will be applied to all records in the system.