How to Create Internal Controls 

1.Click the Compliance Management option in the left navigation menu.  Three options will appear below it-  Internal Controls, Evidences, and Document Requests.  Select Internal Controls.

2. Go to the upper right corner of the screen and select the 3 dot menu.  You can select +Add New, which will create a new Internal Control or you can also select +Copy from CTL if you prefer to clone an already existing Internal Control for your new Internal Control.

3. If you wish to create a new Internal Control with no prior data, select +Add New

4.  The following information is required:

1. Control Name

2. Primary (contact)  

After inputting necessary fields, hit save.

5. If an Asset has already been created which you wish to link to, select the magnifying glass to select the Asset. If you do not have an Asset created yet, then select  +  to create an Asset. 

See Asset Training for further information. 

6. There are many drop down options for Asset Type  and there are other uses for it which are discussed further in Asset training.  

The following information is required:

1. Select an Asset Type

2. Input an Asset Name

3. Select a primary contact for the Asset

7. Hit save and your Asset will be created with a unique ID.

How to Create Evidence(s)

Now that your Internal Control has been created, the next step is to perform testing, which means evidence must be provided.  

1. Go to Evidences on the left side navigation menu and click on it. You can create an evidence request by going to the upper right corner to hit the 3 dot menu and selecting +Add New. 

2. The following information is required:

1. Evidence Name

2. primary contact

3. Evidence Start Date  

3. If you wish for evidence to be approved, you can also select yes for the Approval Process.  See Approval Process Rules training for more information on this functionality.

4. If you select approval yes, you will need to select the reviewer(s) and the approval rule.  If you select “all must approve” or “all must approve in order,” you will select multiple individuals in the reviewer(s) box.  If approval required is marked yes, one reviewer must be selected.

5. Several important steps still need to be completed.  The Evidence  needs to be properly linked to an asset.  You can create new assets and internal controls or you can link to others which were created earlier.  You can also indicate an evidence end date, should you wish for the evidence to only apply to a certain period of time.  

6. Collection due days is a number that you input.  This is important because it triggers when the notifications will be emailed  for your Document Requests.  If your control is monthly, your collection due days typically should be 30 days, quarterly should be 90 days, etc.

7. For Request Frequency, select that the evidence is collected as needed, or another option.

After inputting necessary fields, hit save.

How to Create Document Requests

1. Document Requests can be created automatically or manually.  Based on the evidence start date that was input in the Evidence, and the collection due days input, the Document Requests will be sent out based on this data.  For example, a start date of 1/1/2023 and collection due days of 30 days, would indicate that the document requests would be created on 1/31/2023 and the sequential document requests would be created every 30 days.

2. Document Requests can also be created manually. If you go to the 3 dot menu in the upper right corner and select New Document Request, then you will need to input data to save the New Document Request.

3. Note- select Send Email Reminder if you wish to email a reminder for the document request 

4. The Source type will need to be selected.  It should either be Evidences or Test Results.  This is because document requests would stem from an evidence request or a test result.

5. If you select Evidences, you will need to select the Evidence that this document request is related to.  Upon selecting this, you will be taken to the Evidence page where you can create the New Document Request.

6. Select the Document Requests from the top menu

7. The following information is required:

1. Name

2. Period Start Date

3. Period End Date

4. Primary Contact

5. Due Date

8. The Approval process works similar to the approval process for evidence (see Evidence section above and the Approval Process Rules training for further guidance).  

After inputting necessary fields, hit save.

How to Create Test Results

1. The other option for Add New Document Request is Test Results.This will also need to be linked to an already existing Test Result.

2. Document Requests and Test Result List Items.  +Add new Document Requests will follow the same process in Document Requests.  

3. For Test Result List Items, select Add Item and you will get the following fields to fill in.

The following information is required:

1. Description

4. To create a brand new test result, go to Audit Management and select Test Results

5. The following information is required:

1. Source Type should be Internal Control, and the Source ID will pull a list of Internal Controls for you to select.

2. The Name for the Test results.  A Primary auditor will need to be selected and there is an approval workflow if you wish to have it for the test result (see approval workflow section earlier in evidence and Approval Process Rules Training)

3. Test Results are a mandatory field.  For Compliance, the options are Passed, Failed, or N/A.  Test Notes can be manually input, as well as select the document requests, to link it to the document request.  Attachments can also be uploaded to the test result, so long as each attachment does not exceed 25MB. 

4. Primary Auditor 

The drop down options for Test results are as follows: 

Compliance:

Passed

Failed

N/A

Audit:

Satisfactory

Unsatisfactory

6. There are several areas that you can also fill in for Test Results.  See the top page menu.

7. If you go to the 3 dot menu in the upper right corner, you can select +Add New to create a Finding if there is a need based on your testing.

8. If a Finding is created, the following screen will appear.

The following information is required:

1. Finding Name

2. Description

3. Source 

4. Test Result

5. Risk Manager

6. Primary (contact)

7. Due date

9. There is also a Note you can create for the test result. If you go to the 3 dot menu in the upper right corner, you can Select +Add New to create a Note if there is a need based on your testing.

10. Notes will have the following options.  

The following information is required:

1. Title

2. Description 

11. An attachment can also be uploaded (limited to 25MB per attachment)

12. Attachments can also be added to the test result.  If you go to the 3 dot menu in the upper right corner, you can Select +Add New to create an Attachment if there is a need based on your testing.

13. The following screen will appear so you can upload an Attachment (each attachment is limited to 25MB each)

14. Lastly, Comments can also be added to the Test Result. When you click on Comments, you get the following screen.  Click Add Comment to be able to add a comment to the Test Result.

15. The following screen will show up, where you can add files or use "@ with the individual's user name" to mention individuals specifically so that they will be notified of the comment that you added.  

After inputting necessary fields, hit save.