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> control narrative
control narrative
1. Introduction
Define the purpose of the control narrative.
Identify the scope of the controls being documented.
List stakeholders involved in the control process.
2. Control Objectives
Clearly state the objectives of each control.
Ensure objectives align with organizational goals.
Document any regulatory or compliance requirements.
3. Control Description
Provide a detailed description of each control.
Include the control owner and their responsibilities.
Outline the control environment and any relevant policies.
4. Control Activities
Describe the specific activities that constitute the control.
Identify inputs and outputs of the control process.
Document the frequency of control activities.
5. Risk Assessment
Identify risks that the control is designed to mitigate.
Assess the likelihood and impact of each risk.
Document any changes to the risk profile.
6. Monitoring and Testing
Outline the methods used to monitor control effectiveness.
Specify testing procedures for control validation.
Schedule regular reviews and updates of control effectiveness.
7. Documentation and Record Keeping
Ensure all control documentation is up to date.
Maintain records of control activities and testing results.
Define retention policies for control documentation.
8. Review and Approval
Establish a review process for the control narrative.
Identify who is responsible for approving the narrative.
Schedule regular reviews to ensure ongoing relevance of the narrative.
9. Communication and Training
Develop a communication plan for stakeholders.
Identify training needs related to control activities.
Ensure all relevant personnel are informed and trained on controls.
10. Continuous Improvement
Establish a feedback mechanism for control enhancements.
Document lessons learned and best practices.
Set goals for future control improvements.
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