Run the quarterly testing battery
Each quarter the risk-based and random tests run together: disclosure accuracy and timeliness, complaint investigation quality, recordkeeping integrity, data access controls, vendor governance, and change management verification, with a walkthrough of each major control area.
Quarterly
In the last month of each quarter, feeding the quarterly report
Execute each scheduled test on its population, walk through each control area with the people operating it, classify findings, and route them to Issues Management.
- Quarterly test workpapers
One workpaper per test with sample and results
- Walkthrough notes
Per control area, with attendees and observations
Compliance Officer
Leela can prepare the artifact and hand it to a person for review.
Leela can assemble each quarter’s populations and pre-fill the workpapers.
Tell Leela about your company to see whether this applies.
Tell Leela how you handle it today, or hand it over: see what’s next.