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- Compliance Management
- Implementation
How a Compliance Management rollout works
Start with a scoped assessment and rehearse each review handoff.
Set the organization
Create the organization, business unit and linked people who will own the first review.
Map risk and control
Choose a real risk, record its rating scale and assign an active safeguard to a Control Owner.
Plan the assessment
State the period, scope and planned tests; identify the Tester and Independent Reviewer.
Run a sample
Record a test with evidence, create a finding for an exception and assign corrective work.
Review the result
Submit an obligation for a reasoned decision and have a different person retest the correction.
Inspect the cycle
Compare the assessment, decisions, attachments and operation receipts before expanding scope.
What the customer provides
Bring the organization and business unit names, the people responsible for each step, an actual assessment period, a risk and control that can be explained, and a source for the first obligation. The team should also identify where test samples and correction evidence will be found by an authorized reviewer.
Changing it afterwards
When an owner, scope or source changes, update the relevant record and make the change clear to reviewers. Keep earlier decisions attributable to the version they examined. Rehearse the corrected handoff with the team before treating the next assessment as routine.
Set up Compliance Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.