Page Contents


Benefits

A control is an activity or technical configuration put in place to satisfy a requirement, which is called an objective in ZenGRC. Controls are the only objects that are tested in the Audits module, which are then "assessed" in an assessment. Assessments are typically performed after evidence showing the control in action has been submitted.

Overview

This documentation highlights additional functionality that audit managers or administrators may need. 

When an audit is started, assessments are automatically created on a one-to-one basis with the audit's controls. Assessments rate the effectiveness of a control in both design and operation. To make the process more efficient, you can review the associated details of the control (title, description and, test plan) on the assessment itself. In order to perform the control assessment, the related objectives (on the Design tab) and the related evidence requests (on the Operational Effectiveness tab) can be reviewed on the assessment card as well.

After reviewing the necessary information, the assessor can evaluate the control on a design and operational effectiveness level. Typically, if a control receives an “Ineffective” rating in either category, then a corresponding issue is created. See the issue creation process in Working with Issues.

Audit managers and those with additional permissions access requests from the Audits module, while those with limited permissions access assessments from the To-Do List. See details of access rights in Role-Based Permissions.

Accessing Control Assessments from Audits

This section describes actions conducted on the Audit summary page, which opens when an individual audit is clicked in the Audits module.

On the Audit summary page, complete the following steps:

  1. Click the Assessments tab. 



  2. Find the control assessment and click the link in the Title column.

Accessing Assessments from the To-Do List

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

For additional information, please see To-Do List.

Evaluating Assessments

For streamlined steps on how to finish your portion of an assessment, please see Quick Tips for Assessments.

Filtering Control Assessments in Audits

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

To filter control assessments, complete the following steps:

  1. Click one of the percentages displayed beside a status.
    1. All - This shows all control assessments, regardless of status.
    2. Open - This displays control assessments currently being worked on.
    3. Effective - This displays control assessments that have been researched and deemed effective.
    4. Ineffective - This shows control assessments that have been researched and deemed ineffective.



  2. The page refreshes with results.

Exporting Control 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.

Setting Up Recurrence

Requests, assessments and tasks can be set up to repeat on a monthly, quarterly, semi-annual, and annual basis.