What does Draft status mean for Control Assessments?

When the Audit Program was successfully launched, all of the Control Assessments were auto-created from the controls scoped in Program Setup.

The Control Assessments in your Audit will all begin in Draft mode. Draft mode indicates that the Control Assessment has not been started.

Before a Control Assessment starts, usually Evidence Requests are submitted with attachments (evidence) so the Control Assessor can evaluate a control.

Control Assessments may be accessed from the list view on the Audit overview page.

You may also see the list of Controls by clicking “Go to control assessments list” in the blue Audit status bar in Audit Overview.

The status of the Control Assessments is in the list view under the Status column as well as at the top of the Control Assessment flyout.

How do I Edit the Control Assessment?

As a Control Assessor, you may need to consider modifying the Control Assessment that is assigned to you. To make the Control Assessment relevant to your organization, you would possibly revise the wording, title, due date, or adding files to the Control Assessment.

Editing the control will directly support the evidence collection efforts from the Evidence Providers that are assigned the Evidence Requests from the Control Assessments because the Controls natively available in ZenComply are a broad foundation that is universally applicable, however, would require modification to reflect your organization’s specific control design.

To Edit the Control Assessment, from the list view, under the Title column, click on the link to the specific control, and in the flyout choose the three dots (…) then “Edit control assessment.”

Insight and Helpful Tips

Create Additional Evidence Request Records

If you have multiple people to request evidence from, or possibly the request previously submitted is insufficient, then as the Control Assessor, you can add more Evidence Requests to Control Assessments for the Controls that you are assigned to.

When evaluating evidence as it is submitted by the Evidence Providers, the Control Assessors will need to determine if it is needed to add additional Evidence Request records for collecting more proof that a control is operating effectively.

To add additional Evidence Requests for a Control Assessment, from the list view, under the Title column, click on the link to the specific control, and in the flyout choose the “+” icon next to “Related requests”

Activate the Control Assessment

Activating a Control Assessment reflects that enough supportive evidence has been provided from the Evidence Request to do a control evaluation.

No email notifications are sent to other users for this Control Assessment record.

NOTE: Re-assigning the Control Assessment changes the state back Draft. An email notification is sent to the user(s) that have been re-assigned to the Control Assessment.

What am I viewing?

Accessing the list of Control Assessments through the Audit overview landing page, from the tab in the header or the blue Audit status box by clicking on “Go to control assessments list”

Here, you can edit the Control Assessment, see the related requirements and related evidence requests, which will house the evidence attachments for review by the Control Assessor

Within the flyout card, additional attachments may also be added, creation of additional evidence requests to support the Control assessor’s review of the effectiveness of the control

ZenGRC Wiki

Control Assessments: Draft

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