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- GRC Audit Compliance
- Who it's for
- Internal audit teams
Internal audit teams
An internal audit team can organize reviews by business unit, period and the controls tested. The Assessment Owner keeps the scope clear while testers and reviewers record their separate work. A finding remains tied to the source assessment and control as remediation proceeds.
How GRC Audit Compliance is set up for you
Scope
Choose a business unit and period, then name the assessment owner and the controls in force.
Testing
Record sample size, exceptions, result and evidence for each control line.
Review
Let an Independent Reviewer decide the submitted revision and record the reason.
An internal audit team can organize reviews by business unit, period and the controls tested. The Assessment Owner keeps the scope clear while testers and reviewers record their separate work. A finding remains tied to the source assessment and control as remediation proceeds.
Start with one business unit and a short audit period. Choose a risk with an active control and create one test that produces a finding. Rehearse the review return and a later approval. Keep the source revision visible so the team can show which work the reviewer accepted. 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.