Performing Test of Design (TOD) for a control

[Former Member]

Dear Experts,

I need you expert opinion on the Testing of Design for a control.

I am in midst of an GRC Process control 10 implementation.  I have a question for having multiple test plan for a control (i.e. one for test of design and one of test of effectiveness)

For a SOX control, testing is performed in two parts as follows:

- TOD: Test of Design (In here we assess the design of the control)

- TOE: Test of Effectiveness (In here we assess the effectiveness of the control)

So based on the above underlying testing methodology for a control, we require to have two test plans for one controls, since the testing steps for TOD and TOE are different.

I am aware of the control design assessment testing in the planner. However, in scheduling a control design assessment a survey template is required.

I am not sure how it would take care of the TOD for a control, as in TOD we need to perform some testing based on the manual test attached to a control.

What I require is to schedule TOD for testing a control similarly to scheduling for testing effectiveness.

Please advice on how to perform test of design of a control.

Look forward to hear from you.

Regards,

Sahil.

[former_member205878 · Accepted solution]

Hi Sahil,

There are two major evaluations over a control-

1)  Assesment  

     That includes Control Design Assessment that can also be called Test of Design Assessment.

2)  Manual Test

     Includes Control test of effectiveness.

Steps to perform Manual test are

--> Create a manual test plan.

--> Assign test plan to a control.

--> Plan Control test of effectiveness for the control.

Whereas Steps for design assessment are as follow-

--> Create Question library.

--> Create Survey over it.

---> Plan Control Design Assesment.

Regards,

Silky Sharma

[Former Member · Accepted solution]

Hi Silky,

I have created plan for control design assessment. Now in my inbox, I got a workflow, it is asking some question to answer.

What does it mean. what do I do with those question?

Regards

Madhab

[Former Member]

Hi Sahil,

As per my knowledge, you cannot do design assessment similar to the Effectiveness.

Design Assessment and Effectiveness testing are used for a different purpose. Assessment are sent out as a survey along with a set of questions and where as effectivess are used to test the effectiveness of any specific control.

I hope this infomation helps.

BR,

Yukti Sharma

[singhsmi]

Hi Sahil,

You can very well use survey questions as testing steps. Only that here you do not have some of the fields like testing required and sampling method.

If you want to pass or fail each step, you can make use of choices in questions.

Regards,

Smita.