Tutorial on establishing a controls program

Broadleaf is developing a series of tutorials on aspects of controls, control design and control assurance. The first three were published in December, the fifth is published this month..

There will be five tutorials in all (Figure 1):

  1. The first tutorial (available here) outlines the most important roles and responsibilities relating to controls and control assurance, describes important definitions and concepts, and outlines the main features of the three lines of assurance approach to assurance
  2. The second tutorial (available here) concentrates on control design, an important part of risk treatment
  3. The third tutorial (available here) discusses control review and describes how a manager can conduct a simple control self-assessment
  4. The fourth tutorial describes approaches to monitoring controls
  5. The fifth tutorial (available here) extends these concepts to more general planning of a control assurance program that might include an annual cycle of reviews.

The fourth tutorial is in preparation. We hope to make ir available next month.