Control Objectives

Question 1

Control objectives can only be scoped with an entity type when ______

Answer 1

in Active state

Question 2

Control objectives can be associated with more than one __________ and the follow that __________ record lifecycle

Answer 2

policy

Question 3

Control objectives can be related to these 3 kinds of template records:

Answer 3

test templates, indicator templates, and performance analytics indicators

Question 4

What are the 3 types of Controls?

Answer 4

Standard (one control per entity), unique (multiple controls per entity), and common (one primary control-entity pair)

Question 5

What is the Control record lifestyle?

Answer 5

Draft -> Attest -> Review -> Monitor -> Retired

Question 6

What role is required to modify/edit controls and move into Attest state?

Answer 6

sn_compliance.user

Question 7

Who can complete control attestations?

Answer 7

only assigned attestation respondents

Question 8

What should be done if an attestation respondent is not available?

Answer 8

The control returned to draft and reassigned

Question 9

What role is required to review a control and move into Monitor or return to Draft?

Answer 9

sn_compliance.manager

Question 10

what may be scheduled for a control in the Monitor state?

Answer 10

Indicators

Question 11

What happens to controls when the scoped entity becomes inactive?

Answer 11

They automatically retire

Question 12

How do unique controls provide greater control objective granularity?

Answer 12

Create new controls with unique names scoped within an existing entity, can assign different control owners, and uniquely named controls are included in the compliance score

Question 13

Which type of control is only available on the Compliance Workspace?

Answer 13

common controls

Question 14

What happens to a standard control when it is converted to a common control?

Answer 14

retired

Question 15

How many entities can be processed at a time when migrating entities from standard controls to be reliant entities?

Answer 15

15

Question 16

What is the difference between standard and common control function?

Answer 16

standard controls are individual for each entity relationship, require testing for each entity, whereas common controls have one primary entity relationship where testing occurs and reliant entities inherit the test results

Question 17

What are the steps to set up a common control where no controls currently exist?

Answer 17

Create a standard control for the primary entity, convert to a common control, add entity type to the common control

Question 18

What are the steps to set up a common control when standard controls already exist?

Answer 18

convert standard control of primary entity to a common control, convert remaining standard controls to reliant entities, remove entity type from control objective, add entity type to common control