Defining compliance test properties
You can specify certain information on tests.
General characteristics
General characteristics of the compliance test are:
• Name: test name.
• Code: you can assign a code to the test.
• Included in the Initial Plan: this attribute is defined automatically according to plan status at the time of creation of the test. It indicates if the test was present at plan creation, or if it was added later.
• Lead Controller: lead controller name.
• Main Auditee: name of the main correspondent for the test in the entity visited.
• Objective of the test.
• Category of the test:
• "Direct Testing": direct assessment of design, operational management knowledge, and effectiveness of compliance requirements, determined by tests on samples if necessary.
• "Indirect Testing": assessment of risk factors and criticality level of requirements for internal operation.
• "Direct and indirect testing".
The value specified in the Category field impacts content of the assessment questionnaire generated for each compliance activity. For more details, and to help you in your choice of category, see Questionnaire types.• Type
• "Design"
• "Execution"
• "Design and Execution"
• "Indirect Indicator": enables remote control of compliance to requirements by implementation of KRI (Key Risk Indicators).
These values are given as a guide only. This field has no impact on generation of requirement assessment questionnaires. • Status: this attribute is defined automatically and modified at workflow transitions.
Justification and workload
In this section you can enter the following characteristics:
• Justification of the test
• Origin: follow-up, specific, recurrent, etc.
• Priority: priorities can be specified for tests. You can select tests to be integrated in the plan based on this priority criterion
• Estimated Duration (days).
• Estimated Number of Resources
• Estimated Workload (Hours)
The following characteristics are automatically calculated:• Effective Workload (Hours): calculated from the effective workload defined on time sheets or on activities if no time sheet has been entered.
• Estimated Number of Resources
Scope of the test
Various tabs enable definition of compliance test scope. Several prior conditions must be fulfilled before starting tests.
You must have connected the test to:
• at least one entity
• at least one process
• at least one regulation
Regulations are filtered according to the selected entity.• at least one requirement (first level)
Requirements are filtered according to the selected regulation.You can also connect the test to:
• second level requirements
• controls
Milestones
In the Milestones section you can indicate:
• a Planned Begin Date
• a Planned End Date
These dates constitute audit milestones.
You can choose to enter milestones at a later stage.Users
In the Users section, you can specify test participants:
• Test Controller: controllers having been previously defined, you can connect but not create controllers. See Assigning resources to tests.
The lead controller should be specified in general characteristics of the test. For more details, see General characteristics.• Auditee (Compliance)
• Other Participant in Compliance Test (for information only)
Skills
You can specify skills required by controllers to execute tests.
To define skills required for the test:
In the Skills frame, click New or Connect to create a skill or connect an existing skill.When assigning controllers to a test, you will be able to compare skills of controllers with skills required for the test. For more details on the report providing this information, see Assigning a resource to a test.
Summary
In Summary of the completed test, you can indicate:
• Its Key Strengths
• Its Key Weaknesses
• An Evaluation:
• Good overall level
• "Can be improved"
• etc.