Operational Risk
Operational Controls Workbook
Design, document and test operational controls across the enterprise.
Problem
Control libraries get stale fast. This workbook keeps control design, testing evidence and effectiveness ratings in one auditable source.
Built for
- · Internal controls teams
- · Audit
- · Risk owners
Checklist
Features
- Control taxonomy with preventive/detective classification
- Design and operating effectiveness testing tabs
- Evidence and exception logging
- Issue and remediation tracking
Checklist
What's Included
- Excel workbook (10 tabs)
- Control testing playbook (PDF)
Checklist
Use Cases
- SOX 404 testing
- Operational control rationalisation
- Audit readiness
Frequently Asked Questions
FAQ
- Does it support SOX testing?
- Yes — design and operating effectiveness tabs map directly to SOX testing requirements.
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