Assessment preparation

Step by step

1. Define assessment scope Control Owner

   The Control Owner creates the assessment for an organization and counterparty business unit, identifies an owner and records the subject, period and amount. Keep the record number stable so later evidence stays with the same case.

   • Establish the period, amount and counterparty.
   • Updates Assessments, Organizations, Business units

2. Assign the working context Control Owner

   The App Administrator confirms that the organization, business unit and team member are active. The owner checks that the counterparty is the right unit for this period.

   • Confirm the accountable owner and organization.
   • Updates Team members, Assessments

3. Record supporting checks Control Owner

   The Assessment Tester adds dated lines with the appropriate evidence type and verification value. The owner attaches the source documents under the parent assessment.

   • Keep dated checks and files under the parent.
   • Updates Assessment tests, Record attachments

4. Submit for review Control Owner

   The Control Owner checks the current revision and makes the review package available to the Independent Assurance Reviewer. A record in Review should have the documents needed for an actual decision.

   • Present the current revision for independent review.
   • Updates Assessments, Review decisions

Control Owner

Prepares scope and evidence; Assessment Tester records dated checks; App Administrator maintains organizations and membership; Independent Assurance Reviewer decides; Auditor reads authorized records.