Controls Module

Controls Module

Overview

The Controls module (Internal Control) helps you define, implement, and monitor internal controls to ensure compliance with regulatory requirements and organizational policies.

Key Features

• Control definition and documentation
• Control testing and assessment
• Control effectiveness monitoring
• Review scheduling and tracking
• Relation mapping to frameworks, risks, and assets
• Control reports generation
• Timeline view for control activities

Creating an Internal Control

To create a new control:

1. Navigate to Compliance - Controls
2. Click Add Control
3. Fill in control details:
   • Number - Control identifier (auto-generated or manual)
   • Name - Control title
   • Description - Detailed control description
   • Type - Control type (Preventive, Detective, Corrective)
   • Frequency - How often control is performed
   • Owner - Person responsible
4. Click Submit

Control Detail Page

The control detail page shows:

• Basic Information - Control metadata
• Relations - Linked frameworks, risks, assets, and policies
• Review History - Past control reviews
• Supporting Documents - Attached evidence

Linking Controls to Other Modules

Controls can be linked to:

• Compliance Frameworks - Map controls to framework requirements
• Risk Register - Associate controls with risk treatments
• Assets - Link controls to protected assets
• Policies - Reference related policies

Control Reviews

Conduct periodic control reviews:

1. Set review schedule (Annual, Semi-annual, Quarterly, Monthly)
2. When review is due, navigate to control
3. Click Add Review
4. Document review findings:
   • Review date
   • Reviewer name
   • Status (Effective, Partially Effective, Ineffective)
   • Comments and recommendations
5. Upload supporting evidence

Control Reports

Generate control reports:

1. Go to Controls - Reports
2. Select report type
3. Choose date range
4. Generate and download PDF report

Timeline View

View control activities over time:

1. Go to Controls - Timeline
2. See all control reviews and updates
3. Filter by date range or control
4. Track control effectiveness trends

Adding Supporting Documents

Attach evidence to controls:

1. Open control detail
2. Go to Supporting Documents section
3. Click Add Document
4. Upload file or link from File Manager
5. Add document description