One element of Controls we have not yet looked at is Compliance Test scheduling and recording the results of control testing.
In the Control Listing screen click on the 
button in the toolbar at the top of the screen to bring up the following screen:
Key controls are marked for you with a tick in the “Key” box; click on “Edit” and then use the radio buttons to determine the month you wish the test to be conducted in. When you are finished click “Save” and the record is saved. You have the ability in this screen to export the testing schedule to Excel; simply click on "Export" button in the toolbar to bring up this screen:
If you open the file immediately, you will get the following:
The detail you put in this Testing Schedule is automatically transferred to the individual Control Screens:
The IA in the “Test Type” column indicates that this is a test conducted by Internal Audit; this is a system generated field.
Once a test has been done, irrespective of whether it is a Compliance or Audit test, the degree of control application needs to be recorded.
It would be nice if there could be a simple yes/no answer to the question of whether or not a control is working. Unfortunately, this is not the case, the 8th Fact of Business Life comes into play:
“The thoroughness with which a control is applied will impact on the effectiveness of the control”.
The system needs to recognise that a control can work:
•Always
•Mostly
•Sometimes
•Never
CAREweb™ allows for these 4 possible control statuses; the user should define what they mean by “Mostly” and “Sometimes” in their Risk Manual or Audit Manual. To input the result of a test, go to the relevant Control Screen, click the “pencil” beside the date of the test you are updating. This brings up the following screen:
From here you can use the "Test Result" drop-down menu to make your selection from:
•Always Works
•Mostly Works
•Sometimes Works
•Never Works
•Untested
Click on the "Save" icon to save the record in the usual way.
Note: You cannot add a test result for a test that is due in the future – i.e. in July you cannot input results against a test due to be done in December. You can input results of tests done at unscheduled times; click "Add New" on the toolbar below the "Compliance Tests" tab to bring up the Testing Screen shown above. This screen has a calendar box next to the date 
click on this to show the calendar:
Click the band at the top once with the left mouse button (or use the arrows) and make your selection of the month and then pick a day from the calendar; click on the day and it will be entered; click the "Save" icon to save the record in the usual way.
Some points to note:
▪Once a test has been scheduled, you cannot go into that scheduled date and try and input a test result until the date has arrived; i.e. as stated above you cannot do a future test in advance;
▪once a scheduled test has been done, you cannot go back and alter the result if the month the test was due in has passed.
▪All test results will be subjected to approval workflow selected in the Compliance tests Parameters screen.
Note: if the Testing Schedule is not allowing you to edit results, you can always go into the Test Schedule and “untick” the particular control in the month in question and then make your change.
Use the "Control Listing" button in the toolbar at the top of the screen to go up one level to the listing of all controls and then click on the "Entity Listing" button in the toolbar at the top of the screen to go up to the Entity screen so as to consider the next element of the Risk Profile.