Systems and methods for testing internal control effectiveness
Methods, systems, and computer program products are provided for managing internal controls. Internal control systems and methods are also disclosed that provide a service catalog comprising one or more test services relating to internal applications. In one implementation, a computer-implemented method is provided for testing operating effectiveness of controls for an entity. The method may comprise creating a test plan through a calling application using a service catalog, the test plan identifying controls to be tested using at least one internal application. The method may further comprise uploading control testing results for at least one scheduled test, the testing results being uploaded from the internal application to the service catalog, validating the control testing results at the service catalog, and sending the validated results to the calling application.
1 . A computer-implemented method for testing operating effectiveness of controls for an entity, the method comprising:
creating a test plan through a calling application using a service catalog, the test plan identifying controls to be tested using at least one internal application;
uploading control testing results for at least one scheduled test, the testing results being uploaded from the internal application to the service catalog;
validating the control testing results at the service catalog; and
sending the validated results to the calling application.
2 . The computer-implemented method of claim 1 , wherein creating the test plan further comprises:
selecting a test service from the service catalog relating to the at least one scheduled test;
configuring one or more parameters associated with the selected test service; and
sending the selected test service to the internal application associated with the selected test service for processing.
3 . The computer-implemented method of claim 1 , wherein uploading of control testing results is implemented in accordance with a pull procedure.
4 . The computer-implemented method of claim 1 , wherein validating further comprises:
comparing the control testing results with the one or more parameters.
5 . A computer-implemented method for testing operating effectiveness of controls for an entity, the method comprising:
offering a catalog of one or more test services through a calling application, the test services relating to controls to be tested using at least one internal application;
receiving one or more parameters associated with at least one test service;
sending the test service to the internal application associated with the test service for processing;
receiving control testing results associated with the one test service;
validating the control testing results; and
sending the validated results to the calling application.
6 . The computer-implemented method of claim 5 , further comprising sending the validated results to a control documentation application.
7 . The computer-implemented method of claim 5 , wherein receiving control testing results is implemented in accordance with a pull procedure.
8 . The computer-implemented method of claim 5 , wherein validating the control testing results further comprises comparing the control testing results with the one or more parameters.
9 . A system for testing control operating effectiveness, the system comprising:
means for creating a test plan through a calling application using a service catalog, the test plan identifying controls to be tested using at least one internal application;
means for uploading control testing results for at least one scheduled test, the testing results being uploaded from the internal application to the service catalog;
means for validating the control testing results at the service catalog; and
means for sending the validated results to the calling application.
10 . The system of claim 9 , wherein the means for creating the test plan further comprises:
means for selecting a test service from the service catalog relating to the at least one scheduled test;
means for configuring one or more parameters associated with the selected test service; and
means for sending the selected test service to the internal application associated with the selected test service for processing.
11 . The system of claim 9 , wherein the uploading of control testing results is implemented in accordance with a pull procedure.
12 . The system of claim 9 , wherein the means for validating comprises means for comparing the control testing results with the one or more parameters.
13 . A system for testing control operating effectiveness, the system comprising:
means for offering a catalog of one or more test services through a calling application, the test services relating to controls to be tested using at least one internal application;
means for receiving one or more parameters associated with at least one test service;
means for sending the test service to the internal application associated with the test service for processing;
means for receiving control testing results associated with the one test service;
means for validating the control testing results; and
means for sending the validated results to the calling application.
14 . The system of claim 13 , further comprising:
means for sending the validated results to a control documentation application.
15 . The system of claim 13 , wherein the means for receiving control testing results is implemented in accordance with a pull procedure.
16 . A computer program product with a computer program stored thereon for providing a user interface, the computer program comprising instructions operable to cause the computer to perform a method for testing operating effectiveness of controls for an entity, the method comprising:
creating a test plan through a calling application using a service catalog, the test plan identifying controls to be tested using at least one internal application;
uploading control testing results for at least one scheduled test, the testing results being uploaded from the internal application to the service catalog;
validating the control testing results at the service catalog; and
sending the validated results to the calling application.
17 . The computer program product of claim 16 , wherein creating the test plan further comprises:
selecting a test service from the service catalog relating to the scheduled at least one test;
configuring one or more parameters associated with the selected test service; and
sending the selected test service to the internal application associated with the selected test service for processing.
18 . The computer program product of claim 16 , wherein the uploading of control testing results is implemented in accordance with a pull procedure.
19 . The computer program product of claim 16 , wherein validating further comprises:
comparing the control testing results with the one or more parameters.
20 . A computer program product with a computer program stored thereon for providing a user interface, the computer program comprising instructions operable to cause the computer to perform a method for testing operating effectiveness of controls for an entity, the method comprising:
offering a catalog of one or more test services through a calling application, the test services relating to controls to be tested using at least one internal application;
receiving one or more parameters associated with at least one test service;
sending the test service to the internal application associated with the test service for processing;
receiving control testing results associated with the one test service;
validating the control testing results; and
sending the validated results to the calling application.