Who is this article for?

Users responsible for carrying out assurances for controls.

Risk module access is required.

An assurance is a structured check that gives your organisation documented evidence a control is operating as intended.

This article walks you through creating and completing one.

Creating an assurance

Before you start, the control:

• must be Active, and its type must have assurance configured (if there is no Assurance tab on the record, your administrator may have disabled it).
• needs at least one linked test set to contribute to assurance. The assurance is completed by recording results against those tests.

To create an Assurance:

1. Access the Risk menu.
2. Select Controls.

3. Open the control record you need to complete an assurance for.

4. Switch to the Assurance tab.

5. Click Start Assurance.

6. Add an Owner for the Assurance.

7. Set a Due Date.
   This is the date the Assurance needs to be completed by.
8. Click Save.

You will be taken back to the control record, where your assurance will be listed in the tab.

Completing an assurance

To complete an assurance:

1. Open the assurance.
2. Click Begin Assurance.
   You will only see this button if you are the assigned owner.

2. For each linked test, set it as In scope or Out of scope.
3. For every in-scope test, record a Test Result (for example Pass, Fail or Partial Pass).
4. Add notes or evidence as needed.
5. Once all in-scope tests have results, select an Assurance Outcome.
   The available options are configured by your administrator.
6. Click Submit Assurance.

To view historical assurance data, click History. Here, you can see a list of all Assurances previously completed for this Control.

Further reading

• Starting assessments for a control
• Exporting Control data