Control Advanced Effectiveness Testing

Control Effectiveness Testing ensures that controls are functioning as intended to mitigate risks. This process involves multiple steps to validate design and operational effectiveness.

Steps for Effectiveness Testing

Step 1: Source Document Upload

1. Navigate to the test plan in the Controls module.

2. Click Upload Source Document.

3. Drag and drop files or browse to upload relevant documents.

4. Optionally, add a description for the uploaded file.

Step 2: Generating Samples

• Choose a sampling method:

  • By Number: Generate samples based on a predefined count.

  • By Date: Use a date range to generate samples.

  • By Spreadsheet: Upload a spreadsheet and configure sample generation.

Step 3: Uploading Evidence

• Upload evidence for each sample.

• Mark samples without evidence and provide a reason in the comments.

Step 4: Testing

• Assess each sample and document findings.

• Provide scores and comments for each test step.

Step 5: Reviewer Step

• The reviewer assesses the results, provides feedback, and confirms the final outcome.

Best Practice: Ensure all required documents are uploaded before moving to the next step.