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Maximize your auditing prowess with our fully editable Control Effectiveness Rating template, inclusive of the pioneering Policy Assurance Compliance (PAC) model. Ahead of the book launch on Control Effectiveness Assessment, get an in-depth understanding of how to leverage this model from the article "Audit reports are useful... but auditing is essential."


Why It Matters: The most meticulously crafted policy won't yield results if it’s not paired with trained staff and the necessary resources. Over time, gaps in even the most robust procedures might emerge due to changes in the operational landscape. Regular audits ensure sustained efficacy, but only if acted upon swiftly.


Evidence is Key: From photographs to inspection reports, the foundation of impactful audit findings is robust, diverse evidence. The 4C Audit Findings and 4A Audit Recommendations model acts as your roadmap to drafting comprehensive audit reports.


The Art of Rating Control Effectiveness: A simple binary 'Effective' or 'Ineffective' often sparks debate. Truth is, most controls lie somewhere in between. Introducing granularity can pinpoint where your attention is needed most. Consider our six-point scale for control effectiveness, assessing each control against the three performance pillars (Policy, Assurance, Compliance). Remember, this is just a starting point—each model can and should be tailored to your unique context.


Dive in, and enhance the precision and effectiveness of your auditing today.

Risk Control Effectiveness Criteria

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