Design test steps for a control and pick a sample size
Builds a test of design and operating effectiveness for one control, with sample size, attributes to check, and exception handling.
The prompt
Help me design a test for a control.
Control description: [WHO does WHAT, WHEN, HOW, and what evidence is kept]
Risk it addresses: [RISK]
Control type and frequency: [manual / automated; annual, quarterly, monthly, weekly, daily, multiple times a day]
Population: [what the full population is and roughly how many items in the period]
Period under review: [DATES]
Our methodology or sampling guidance (if any): [PASTE or "none"]
Reliance level: [e.g. SOX key control, internal audit, second-line monitoring]
Give me:
1. Test of design - steps to confirm the control, as described, would address the risk (precision, timing, competence of the performer, information used).
2. Test of operating effectiveness - numbered steps, written so a junior auditor can follow them.
3. Sample size - based on my methodology if I gave one; otherwise a commonly used frequency-based table, clearly labeled as a reference to confirm with my team's methodology.
4. Sample selection approach - random, haphazard, or targeted, and how to prove the population is complete.
5. Attributes to test - a checklist table, one row per attribute, with what counts as a pass.
6. Information used in the control - how to test the completeness and accuracy of any report the control relies on.
7. Exception handling - what to do if I find one exception (expand sample? deficiency?) and what to document.
8. Automated control alternative - if relevant, a test-of-one approach plus the IT general controls it depends on.
Highlighted [brackets] are blanks to replace with your own details.
Fill in the blanks and use this promptMore Legal & Compliance prompts
What to fill in
- WHO does WHAT, WHEN, HOW, and what evidence is kept
- RISK
- DATES
- PASTE or "none"
- e.g. SOX key control, internal audit, second-line monitoring
How this prompt is built
This prompt follows the RTF structure (Role, Task, Format). RTF tells the model who to be, what to do and what shape the answer should take. It is the quickest structure that still gives noticeably better results than a bare request.
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