Using compliance assessment templates

Learn about the available compliance assessment templates that serve as starting points for building compliance assessments.

What are compliance assessment templates?

Compliance assessment templates are pre-built compliance assessments that serve as starting points for building compliance assessments. As every compliance assessment is different, additional customization may be required.

Depending on the workflow, the following items and relationships are included in compliance assessment templates:

Workflow Items Relationships
Workplan
  • Objectives
  • Risks
  • Procedures
  • Execute Procedures
  • Objectives contain Risks and Procedures
  • Risks and Procedures are associated
  • Procedures and Execute Procedures are associated
Internal Control
  • Objectives
  • Risks
  • Controls
  • Test Plan
  • Walkthroughs
  • Testing
  • Objectives contain Risks and Controls
  • Risks and Controls are associated
  • Controls and Test Plans are associated
  • Test Plans are associated with Walkthroughs and Testing

Note

Interface terms are customizable, and fields and tabs are configurable. In your instance of HighBond, some terms, fields, and tabs may be different.

Available compliance assessment templates

The following table describes the compliance assessment templates available in the Compliance Workspace app.

Workflow Compliance Assessment Type Compliance assessment template name Description

Internal Control

Sarbanes-Oxley Review Templates

Sarbanes-Oxley (SOX) Audit Template (COSO 2013 Framework)

A compliance assessment template for a Sarbanes-Oxley (SOX) compliance audit using the COSO 2013 framework.

IT General Controls Review (SOX Context)

A compliance assessment template for a review of IT General Controls in a SOX context.

Internal Audit (Financial & Internal Control) Templates

Sales Commissions Audit

A compliance assessment template that includes an audit program for an internal and external sales rep review.

Anti Bribery and Corruption Internal Control Framework

A compliance assessment template that provides guidance on how to implement preventative and detective controls in your organization to mitigate the process-level risks related to anti-bribery and anti-corruption.

IT General Controls Review (IA Context)

A compliance assessment template for a review of IT General Controls in a SOX or internal audit context.

SOC/SSAE 16/ISAE 3402 Audit Templates

SOC Audit - Technology Service Organization

A compliance assessment template for a SOC/SAS70/SSAE16 service auditor examination for service organizations in the IT services, software, or related technology industries.

Workplan Internal Audit (Operational) Templates

Travel & Entertainment Audit (Analytics Instructed)

A compliance assessment template that includes an analytics-enabled audit program of the Travel & Entertainment Cycle.

Order to Cash Audit (Analytics Instructed)

A compliance assessment template that includes an analytics-enabled audit program of the Order to Cash Cycle.

Purchase Card Audit (Analytics Instructed)

A compliance assessment template that includes an analytics-enabled audit program of the Purchase Card (P-Card) Cycle.

Payroll Audit (Analytics Instructed)

compliance assessment template including an analytics-enabled audit program of the Payroll Cycle.

Purchase to Payment Audit (Analytics Instructed)

A compliance assessment template that includes analytic tests to help you uncover critical control exposures within requisitions, purchasing, receiving, payables, and payments.

Compliance Investigation/Examination Template

FCPA Compliance Investigation

A compliance assessment template intended to provide you with insight on testing FCPA compliance.

Note

The FCPA is complex, and this compliance assessment template should not be construed as legal advice on the part of Diligent. You are cautioned to obtain independent, qualified legal and accounting advice regarding the FCPA if you have specific FCPA questions or concerns.

Operational Risk Assessment Templates Operational Risk Assessment

A compliance assessment template for assessing your organization's process-level risks and controls. Risks can be scored on a set of factors which can be further configured.

Note

Included objectives in this operational risk assessment are for illustrative purposes only and are not comprehensive nor complete.

Pandemic Risk & Response Management Templates Pandemic Risk & Response Management A compliance assessment template used for managing and executing your organization's pandemic response plan.
Training Templates Latex Facility Security Review A fictitious physical security audit used in Academy training courses.

Permissions

Compliance Assessment Admins, Compliance Assessment Creators, and Professional Managers can create compliance assessments from compliance assessment templates.

Create a compliance assessment from a compliance assessment template

Tip

You can create a compliance assessment from a compliance assessment template as part of the assurance plan setup process. For more information, see Defining assurance plans.

Note

Rich text fields cannot exceed 524,288 characters.

  1. Open the Compliance Assessments app.

    The Compliance Workspace homepage opens.

  2. Select New > New Compliance Assessment from Template.
  3. Click Use Template next to the template you want to create your new compliance assessment from.

    The Compliance Assessment Rollforward form opens.

  4. In the Compliance Assessment Rollforward form, modify the default values in any of the following fields, and click Rollforward.

    Result The new compliance assessment is created.

    FieldDescription
    New Name

    Enter a descriptive name for the compliance assessment.

    The maximum length is 120 characters.

    New Description

    optional

    Specify any additional general information you want to record about the compliance assessment.
    Compliance Assessment Type

    Select the appropriate compliance assessment type from the drop-down list.

    The labels and terminology used in Compliance Assessments are dependent upon the compliance assessment type that you select. For more information, see Workflows and compliance assessment types.

    Status

    Select the appropriate status to classify the compliance assessment for workflow management or reporting purposes.

    For more information, see Configuring compliance assessment statuses.

    Fieldwork Start DateSelect the date your compliance assessment is scheduled to begin.
    Target CompletionSelect the date your compliance assessment is scheduled to be completed.

    Budgeted Hours

    optional

    Specify the total number of hours that have been allocated for the compliance assessment.