Compliance Controls

Associate the controls included in your applicability analysis determination with your compliance applicability records. Set up a control by specifying an entity and control category along with one or more control types. Each control name must be unique within the entity. Include the responsible contacts and/or teams associated with enforcement of the control in the Contacts section. Assign tasks to the control in the Task Assignments section. Link reference documents related to the control in the Attachments section.

Each rule assigned to a compliance applicability record with an Applies status that is related to the control is displayed as a line item in the Rules and Requirements section. This section provides each rule/requirement's current status (including its reviewer and effective date) and links to the rule, requirement citation, and permit records. Just the most recent version of each rule is displayed.

Assign one or more controls to a compliance applicability record in the Controls section on the Compliance Applicability Bulk Creation form. Controls can also be assigned to environmental aspect records in the Controls section on the Entity Aspect form.

The Bulk Copy Controls form is available to copy controls from one entity (source) to another (target). One or more controls can be copied from one or more entities to one or more entities. If controls are linked to applicability records associated with rules and requirement citations at the source entity, and applicability records for the same rules and requirement citations exist at the target entity, the new controls are automatically linked to the applicability records at the target entity. Optionally, control priorities and reference document attachments can be included in the copy process.

For information on establishing and bulk copying controls, click the following links or use the scroll bar to scan the page.

 

To Add Controls

Bulk Update Controls

Working with a Control's Task Assignments

Bulk Copy Controls

Adding and Viewing Reference Documents

Job Log

Adding Rule/Requirement Applicabilities

 

 

To add controls

1.      Click Data Entry > Compliance Applicability > Controls in the Navigation Tree.

The Controls list is displayed.

2.      Click the New button to open the Control form.

3.      Select an Enterprise Entity from the list.

4.      Enter a unique Control Name and associated Description.

A maximum of 2000 characters are available for the description.

5.      Select a Status.

Note: Only Active Controls can be associated with other records (Compliance Applicability, Checklist Items, F-R-O-Gs, Tasks).

6.      Select a Priority. By default, newly created Controls are set to Not Reviewed.

7.      Select a Category for the control from the list.

If the applicable category is not listed, click the Ellipsis button and add it.

8.      Expand the Control Types section to associate one or more control types with the control. Otherwise, skip to step 10.

9.      Click Add Control Type and select a Control Type from the list.

10.  Click OK.

The control type is displayed as a line item in the Control Types section. Use the buttons adjacent to the line item to change or remove a control type.

11.  Repeat steps 7 and 8 to add other control types.

12.  Expand the Contacts section to add the contacts/teams associated with the enforcement of the control. Otherwise, skip to step 14.

13.  Click Add Contact/Team and select either a Team OR a Contact from the list. The control record will not save if an entry is selected for both fields.

If the appropriate team is not listed, click the Ellipsis button adjacent to the field and add it.

14.  Click OK.

The contact/team information is displayed as a line item in the Contacts section. Use the buttons adjacent to the line item to change or remove a contact/team.

15.  Repeat steps 11 and 12 to add other responsible contacts/teams.

16.  Click the Save button on the Control form.

17.  Repeat steps 2 through 14 to add other controls.

Working with a Control's Task Assignments

In the Task Assignments section of a control's properties, you can associate task assignments with a control; these can be task assignments already defined in your system (see Establishing a Task Assignment) or assignments you create for the control. You can also edit and remove a control's task assignments.

To edit a control's task assignments

1.      On the Controls form, click the control to which you want to add task assignments.

The control's properties open.

2.      Expand the Task Assignments section.

The section shows any task assignments currently added to the control. For non-recurring tasks, only open tasks are shown. For recurring tasks, only the most recent is shown. (You can click View All Control Tasks to view all of them.)

3.      Make your desired changes to the control's task assignments:

        To add a task assignment: Do one of the following, depending on whether the desired task assignment already exists in your system:

        Task assignment exists in your system: Above the table of task assignments, click Select Existing Task Assignment. This opens a dialog showing all task assignments belonging to this control's entity. Select the task assignment(s) you want to add and click Add Tasks.

        Task assignment does not exist in your system: Above the table of task assignments, click Add New Task Assignment. (If this link does not appear, you do not have permission to create new task assignments.) This opens a form for defining a new task assignment. Enter the task assignment properties and click the Save button in the upper right. (For details on task properties, see Establishing a Task Assignment.)

        To edit a task assignment: In the Task Statement column, click the task you want to edit. This opens the task's properties in a new window. Make your desired changes to the task assignment and click the Save button in the upper right.

        To remove a task assignment: At the far left, click the assignment's remove () icon.

Adding and Viewing Reference Documents

The following two methods are available for adding related files that exist in third-party applications, such as Microsoft Word, to a control record:

        Document Links - Set up a hyperlink to the file. Optionally, the location of an off-line reference can be specified without a link.

        Document Attachments - Add a file to the record. A copy of the file is placed on the server and made available for user access. Any changes made to the original file after the attachment will not be present in the copy. The default maximum file upload size supported by ASP.NET is 4096 KB (4MB). The default can be modified to support larger file uploads, i.e., attaching files larger than 4MB. For instructions to increase the default value, refer to Microsoft (https://docs.microsoft.com) and view the article: httpRuntime Element (ASP.NET Settings Schema).

Each link or attachment is displayed as a line item in the Attachments section on the Control form. Attachments and linked documents can be viewed by clicking the line item link.

Note:  In order to view a linked/attached file, desktop access to the particular software used to create the file must be available. For example, access to Microsoft Word is required to view an attachment created as a Word file (.doc, .docx).

To add document links

1.      Expand the Attachments section, if necessary, on the Control form.

2.      Click Add Link.

3.      Enter a Description of the document.

4.      Enter the full file path to the document in the Document Location field.

5.      Select a Document Type from the list.

If the appropriate type is not listed, click the Ellipsis button and add it.

6.      Ensure the Is Hyperlink check box is selected to establish the link.

When specifying an off-line location, ensure the Is Hyperlink check box is not selected.

7.      Click OK.

The document information is added as a line item in the Attachments section. Click the link to view the file. Edit existing attachment information using the buttons adjacent to the line item.

8.      Click Save.

9.      Repeat steps 2 through 8 to add other document links.

To add document attachments

1.      Expand the Attachments section, if necessary, on the Control form.

2.      Click Add Attachment.

3.      Enter a file path in the File field or click Browse to locate and select a file.

4.      Enter a Description of the attachment. A maximum of 70 characters can be entered.

5.      Repeat steps 3 and 4 to add a second and/or third attachment.

6.      Click OK.

Each attachment is added as a line item in the Attachments section. Edit existing attachment information using the buttons adjacent to the line item.

7.      Click Save.

8.      Repeat steps 2 through 7 to add other attachments.

Adding and Removing Rule/Requirement Applicabilities

You can add a new or existing rule/requirement applicability to a specific compliance control. This has the same effect as adding a control when modifying a compliance applicability record (see Compliance Applicability); here you are recording the applicability from the control side.

To add new or existing rule/requirement applicabilities to a control

1.      On the Controls form, click the control to which you want to add rule/requirement applicabilities.

2.      Expand the control's Rules and Requirements tab, which lists all rules/requirements currently applying to this control.

3.      Above the rule/requirement list, click one of the following links:

        Add New Rules and Requirements Applicability: Click to define a new rule/requirement to apply to this control. In the dialog that opens, define the properties of the new applicability (as you would when defining a new applicability from the Compliance Applicability form), then click the Save button in the upper left.

        Add Existing Rules and Requirements Applicability: Click to select an existing rule/requirement to apply to this control. The Add Rules and Requirements dialog opens with a list of the most recent applicability records. Select the rules and requirements that you want to apply to this control and then click Add Rules/Requirements Citations.

The rule/requirement applicabilities are added to the control's rule/requirement list.

To remove a rule/requirement applicability from a control

1.      On the Controls form, click the control to which you want to add rule/requirement applicabilities.

2.      Expand the control's Rules and Requirements tab, which lists all rules/requirements currently applying to this control.

3.      In the far left column, click the (remove) icon of the rule/requirement applicability you want to remove from this control.

The rule/requirement applicability is removed.

Bulk Update Controls

Use the Bulk Update Controls form to update specific information for multiple controls at a time. For example, if an incident or near miss results in a change to your operating procedures, you might need to update the SOP that is attached to multiple controls.

 

To bulk update control information

1.      In the Navigation Tree, click Data Entry > Compliance Applicability > Bulk Update Controls.

The Bulk Update Controls form is displayed.

2.      Search for the Controls that you want to update by selecting one or more entities and specifying search criteria in the other Control-specific fields, such as Control Name, Category, and Control Type.

Note: If you specify multiple search criteria, the search is performed using the AND operator.

3.      Click Search.

A list of Controls associated with the selected entities and that meet the search criteria are displayed in the Controls list.

4.      In the Controls list, select the Controls that you want to update. Click Select All to select all Controls in the list.

5.      Click Bulk Update.

The Control Bulk Update dialog opens.

6.      Specify the new Control value(s) that you want to update for any of the following:

        Control Name

        Description

        Category

        Entity (Team, Contact, and Task Assignments)

        Control type

        Links/Attachments

7.      Click Update Controls.

A message is displayed confirming that a bulk copy job has been submitted.

8.      Click OK.

The selected Controls are updated with the new information you specified. In cases where there are many values (specifically: Control Types, Contacts, Attachments, Links), the system replaces all existing values with the new value. For example, if there are five attachments for a given control, and you perform a bulk update for that control and assign only one attachment, all five existing attachments are removed and replaced with the new single new attachment.

Note: Only data that is specified is updated. Blank fields are ignored

9.      Track the progress of the bulk copy job in the Job Log.

Bulk Copy Controls

Use the Bulk Copy Controls form to copy controls from one entity (source) to another (target). One or more controls can be copied from one or more entities to one or more entities. The control name, description, category, and control types are copied; other control-related data is subject to the following conditions:

        Teams assigned to the source control that are not entity-specific will be copied to the target control. No entity-specific teams are included in the copy process.

        No individual contacts will be copied.

        If controls are linked to applicability records associated with rules and requirement citations at the source entity, and applicability records with the same rules and requirement citations exist at the target entity, the new controls are automatically linked to the applicability records at the target entity. The review status of the applicability records at the target entity is not updated.

For example, assume "Control A" is being copied from "Entity A" with an applicability record for "Rule 1" that has an "Applies" status. If "Entity B" also has an applicability record for "Rule 1" with a "DNA "status, "Control A" is copied to "Entity B" and associated with the applicability record for "Rule A" whose status remains "DNA".

        Optionally, any priorities or reference documents assigned to source controls associated with applicability records can be copied to the target controls associated with applicability records.

Note:  If a source control already exists at a target entity (based on the control name), the control will not be copied.

Click the Bulk Copy Controls button to initiate the copy process. A message is displayed that provides the number of controls to be copied to the number of target entities. Click OK to submit the bulk copy request; track progress in the Job Log.

To bulk copy controls

1.      Click Data Entry > Compliance Applicability > Bulk Copy Controls in the Navigation Tree.

The Bulk Copy Controls form is displayed.

2.      Select one or more source Enterprise Entities associated with the controls to be copied.

The Copy To Entities section is displayed when an entity is selected.

3.      Use the following guidelines to select the applicable Copy All Controls, Copy Priorities, and Copy Attachments options:

        Select the Copy Priorities option to copy the priorities assigned to the source controls associated with applicability records to the target controls associated with applicability records.

        Select the Copy Attachments option to copy reference documents assigned to the source controls associated with applicability records to the target controls associated with applicability records.

        Clear the Copy All Controls check box to identify the specific controls to be copied and continue to step 4. The Controls section is displayed when this option is not selected.

        Ensure the Copy All Controls option is selected (default) to copy all of the controls associated with the entities selected and skip to step 6.

Tip:  You can easily view all the controls associated with the entities selected before initiating the copy process by clearing the Copy All Controls check box, clicking Load Controls in the Controls section, and then clicking Select All after your review.

4.      Click Load Controls in the Controls section to view all the controls associated with the selected entities. Or, enter search criteria to locate a smaller set of results and then click Load Controls.

Each control is displayed as a line item. The control name is a link to the control record.

5.      Click the check box adjacent to each control to be copied. The Select All and Clear All options are available to help with the selection process.

When at least one control is selected, the Copy To Entities section is displayed.

6.      Select the target entities in the Copy to Entities section and click Bulk Copy Controls to initiate the copy process.

A message is displayed with counts of the number of controls to be copied to the number of entities.
Tip:  If the Bulk Copy Controls button is not visible, user authorization (update/add privileges) to bulk copy controls has not been granted. Please see your system administrator.

7.      Click OK to submit the bulk copy request.

A message is displayed confirming that a bulk copy job has been submitted. Click OK.

8.      Track the progress of the bulk copy job in the Job Log.

Job Log

An entry is added to the Job Log for each bulk copy request. The start and finish date/time, the run status, the machine name, and the final results are provided for each log entry. Any errors are displayed as results. Ascending/descending column sorting is available; click a column heading to sort by the values in the column. Jobs are processed according to a pre-configured priority in a managed, queue-based environment to minimize system contention. Use the Job Log to determine your job's position among all the jobs scheduled to run and to determine the current/final run status.

The AutoRefresh option allows you to switch between a working mode and the Job Log refresh mode. In the refresh mode, the log is automatically updated every 10 seconds. It is possible to use the sorting options in the refresh mode; however, when the list is refreshed and there are new entries, all sorted results could be lost and the list will be reset to display new entries at the top of the list. By switching to the working mode, you can continue viewing the list without interruption. Select the AutoRefresh check box to activate the refresh mode and clear the check box to switch to a working mode. The Refresh link can be used at any time to update the log. For notification purposes, a Loading... message appears when the logs are being refreshed.