Content Comparison

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To view and evaluate a control assessment on the Audit summary page, complete the following steps:

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Those with limited permissions who are assigned requests will only have access to them from their to-listassignments in the To-Do List.

Evaluating Control Assessments

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1. If the Attachments area is not already displaying, select that sub tab.
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2. Review evidence on the Attachments sub tab.
3. Click the Comments sub tab to review any additional information.
4. To add a reason behind declining or verifying the assessment, click the Comments sub tab.Enter enter a comment in the Comments text box and click Send to post. This only saves the comment but does not impact the status of the assessment.
   
   
   
   
5. After review, there are two selections in the upper, left corner:
   • Conclusion: Design – Control language is appropriate and it satisfies the objective. Select one of the following:
     1. --- - No rating. The control has not been rated. The page defaults to this.
     2. Effective - The control's design works as intended.
     3. Ineffective - The control's design does not work as intended.
     4. N/A - Rating the design is not applicable or can't be done.
   • Conclusion: Operational - Control is working effectively. If ineffective, create issue and report finding that you can work on. Select one of the following:
     1. --- - No rating. The control has not been rated. The page defaults to this.
     2. Effective - The control is operating as intended.
     3. Ineffective - The control is not operating as intended.
     4. N/A - Rating the operational effectiveness is not applicable.
        
        
        
        
6. Click Verify Assessment. This is the selection even if the conclusion for the design and/or operation is deemed ineffective. This sets the status to Completed and shows that the control either is or is not effective. 
7. Alternatively, click Decline Assessment to set the status back to Open. This notes that the information is incomplete and sends it back to the assignee to provide additional evidence. It does not close or complete the assessment.
   
   

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Narrow control assessments displayed on the Control Assessments tab within an audit by utilizing the filter functionality.

To filter the control assessment assessments, complete the following steps:

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Exporting Control Assessments

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Assessments Information in a control assessment can be exported for external auditors or any other reviewers your organization may have. The export can be formatted as a CSV or as a zip file with the attachments inside.
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