Control & Attestation Creation and Schedule

SanjivMeher · ‎04-14-2020

Hello Expert,

I am working on building the controls and attestation module for our customers.

As I understand, if I have a control, with a frequency, it keeps creating attestation based on the frequency every cycle.

My question is,

1. if an attestation is created for Q1 and not completed by end of Q1, what happens then? How do we create another attestation, without cancelling the existing attestation?

2. if I want to retire a control at the end of every year and create a new control for every year, so that it is easy to look for evidence based on year. Have you ever had such use case and how do you handle them?

3. Is there an easy way to display the evidence in the control itself, instead of showing them as a related list? Right now the control interface is not so user friendly. Also from the list view of attestation, since it lists the old evidence also, it is difficult to identify, which attestation is for which month or quarter.

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Phil Swann · ‎04-16-2020

if an attestation is created for Q1 and not completed by end of Q1, what happens then? How do we create another attestation, without cancelling the existing attestation?
- what happens then? nothing OOTB
- why would you create another? you cannot have two concurrently
- one thing we have done is build a scheduled job to expire the attestation, and set control to non-compliant; this helps increase the 'pressure' on making sure it is done... the not-doing is an implication of compliance in itself
if I want to retire a control at the end of every year and create a new control for every year, so that it is easy to look for evidence based on year. Have you ever had such use case and how do you handle them?
- no, the control is the control, it is not time based (unless the entity itself is time based). if you want time based evidence you can do so using Audit Management perhaps and work on the control testing
Is there an easy way to display the evidence in the control itself, instead of showing them as a related list? Right now the control interface is not so user friendly. Also from the list view of attestation, since it lists the old evidence also, it is difficult to identify, which attestation is for which month or quarter.
- Yes SN offers a few options such as embedded lists, or embedded content/formatters.
- If you want to modify the view of the attestation results you can modify the sys_relationship record
- If you want to just show the latest, you can leverage the existing 'View Users' Response' UI action and put it inside the control
- Again, I suggest looking into Audit Management module to support these, so the control is really focusing on being a control , and the testing of the control belongs to the control test record
- Also Consider using Indicators and leveraging supporting data

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SanjivMeher · ‎04-24-2020

Thanks Phil.

For your statement 'if you want time based evidence you can do so using Audit Management perhaps and work on the control testing'

Can we use Control Test to test Manual indicators as well?

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