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- GRC Audit Compliance
- Who it's for
- Compliance operations
Compliance operations
A compliance operations group can use the same assessment records for recurring control reviews across organizations and units. The risk scale version and control effective date help explain why a control was chosen for a particular period. Evidence visibility determines who can examine supporting files while the case moves through review.
How GRC Audit Compliance is set up for you
Ownership
Assign the assessment, risk and control to the people who will answer for them.
Evidence
Attach material to the correct assessment and choose internal or shared visibility.
Correction
Give each finding an owner, due date and independent retest.
A compliance operations group can use the same assessment records for recurring control reviews across organizations and units. The risk scale version and control effective date help explain why a control was chosen for a particular period. Evidence visibility determines who can examine supporting files while the case moves through review.
Pilot one review cycle with a named owner and a control that has an unambiguous effective date. Reconcile the assessment, test line, finding and action before expanding to another unit. Agree who may view internal evidence and who may make the review decision. The team can then compare a passing test with a failed or inconclusive one. The failed case should lead to a finding, corrective action and a separate retest. A returned review should leave its original decision in place while the owner prepares a new revision.
The Operations Overview helps the team see current assessments, review decisions and failed operations. Open the case to check its subject, period and owner before acting. If a guarded operation is uncertain, an administrator checks the receipt and saved effects before the team repeats the request. This keeps the handoff reviewable during ordinary work and during correction.
Features to start with
Roles on the team
- Admin
- Configures organizational scope, users and access for the assurance program.
- Assessment Owner
- Plans the assessment, maintains its scope and coordinates testing.
- Control Owner
- Maintains assigned controls and supplies the evidence needed for testing.
- Control Tester
- Records samples, exceptions and results against scoped controls.
- Remediation Owner
- Works assigned findings through corrective action and evidence submission.
- Independent Reviewer
- Reviews assessment revisions and independently retests corrected findings.
Set up GRC Audit Compliance your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.