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Control Testing

Verify that your controls are operating effectively through testing.

Why Test Controls?​

Control testing ensures:

  • Controls are implemented as designed
  • Controls are operating effectively
  • Evidence exists for auditors
  • Gaps are identified early

Test Types​

TypeDescriptionFrequency
Design TestVerify control is properly designedOnce, on changes
Operating TestVerify control works in practicePeriodic
Compliance TestVerify adherence to requirementsAs needed

Creating Tests​

  1. Open a control
  2. Go to Tests tab
  3. Click Add Test
  4. Define test details:
    • Test name
    • Test procedure
    • Expected results
    • Frequency

Recording Test Results​

After performing a test:

  1. Open the test
  2. Click Record Result
  3. Enter:
    • Test date
    • Tester name
    • Result (Pass/Fail)
    • Evidence/notes
  4. Save result

Test Status​

StatusMeaning
🟢 PassedControl operating effectively
🔴 FailedControl not operating as expected
🟡 PartialSome aspects passed, others need work
⚪ Not TestedTest not yet performed

Test History​

View historical test results:

  • Trend over time
  • Pass/fail rates
  • Tester information
  • Evidence links

Scheduling Tests​

Set up recurring tests:

  1. Open a control
  2. Go to Tests tab
  3. Click Schedule
  4. Set frequency (monthly, quarterly, annually)
  5. Assign responsible tester

Remediation​

When tests fail:

  1. Document the failure
  2. Create a remediation task
  3. Assign to control owner
  4. Track to completion
  5. Re-test after remediation

Best Practices​

  1. Test regularly — Don't wait for audits
  2. Document everything — Keep evidence of all tests
  3. Use sampling — For high-volume controls, test samples
  4. Independent testing — Have someone other than the owner test
  5. Follow up on failures — Track remediation to completion

Next Steps​