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AI agent for auditors

Compliance Control Testing Sample Agent

A defensible test result for a control, with an expanded sample when problems appear

ComplianceLegal
See how it worksGet access
Compliance Control Testing Sample Agent: what goes in, what the agent does and what you get

What it does

A small, hand-picked sample can hide the very failures a control test should find. This agent selects a risk-based sample for a control, weighting higher-value, newer or flagged cases and including a random share. It pulls the evidence for each case from the systems, such as approvals, records and timestamps, and tests it against each step of the control. It records pass, fail or cannot test. When failures exceed the set threshold, it expands the sample, targeting similar cases, and tests again. It repeats until the failure rate is clear. It then drafts findings with examples and the likely cause. The analyst approves findings before they go to the control owner. Edge case: failures cluster in one branch.

How it works

Follow the arrows from top to bottom. The orange dashed arrow is the loop: when a check fails, the agent goes back and tries again.

Start and resultWhat it doesA check on its own workWaits for your OKGoes back and retries
Yes, continueYes, continueApprovedNoNo 1 STARTS WHEN Control test is due 2 USES A TOOL Read the control steps and the case population 3 DOES Select a risk-based sample with a random share 4 USES A TOOL Pull evidence for each sampled case 5 USES A TOOL Test each case against each control step 6 CHECKS THE RESULT Is the failure rate below the threshold? If not: expand the sample with cases similar to thefailures. Back to step 3. 7 DOES Retest the expanded sample and group failures bycause 8 CHECKS THE RESULT Is the failure rate stable or is the cause clear? If not: expand again until the pattern is clear or thesample is complete. Back to step 6. 9 DOES Draft findings with examples and likely cause 10 YOU APPROVE Analyst approves the findings 11 RESULT Control test report
Read the steps as a list
  1. Control test is due
  2. Read the control steps and the case population
  3. Select a risk-based sample with a random share
  4. Pull evidence for each sampled case
  5. Test each case against each control step
  6. Is the failure rate below the threshold?If not: expand the sample with cases similar to the failures. Back to step 3.
  7. Retest the expanded sample and group failures by cause
  8. Is the failure rate stable or is the cause clear?If not: expand again until the pattern is clear or the sample is complete. Back to step 6.
  9. Draft findings with examples and likely cause
  10. Analyst approves the findingsThe agent waits here for your OK.
  11. Control test report

How it decides

Sample size grows when failures exceed the threshold, and expansion focuses on cases similar to the failures.

  • Use 60 percent risk-weighted and 40 percent random cases
  • Expand when failures exceed 5 percent
  • Mark a case cannot test if evidence is missing, and count it
  • Group failures by branch, team and period

Make it yours

Every agent is a starting point. You choose these settings for your own situation.

  • Sample size (default 40)
  • Failure threshold (default 5 percent)
  • Random share (default 40 percent)
  • Systems used

What keeps you in control

It always asks you first

  • Findings sent to the control owner

Hard limits

  • Never closes a control as effective without evidence
  • Never contacts the control owner before approval

It stops when

  • Done: failure rate is clear and findings approved
  • Stop: evidence cannot be pulled for over 20 percent of the sample

Set it up

We guide you through the set-up, step by step

Members get the full set-up guide for this agent. No technical skills needed: you copy, paste and upload.

10 minto set it up in your AI
5 AIsChatGPT, Claude, Copilot, Gemini, Grok
  • One set of instructions to paste into your AI, with the clicks for ChatGPT, Claude, Microsoft 365 Copilot, Gemini and Grok
  • The agent then walks you through connecting your own data, one source at a time
  • A downloadable copy with the flow chart, the rules and the full guide
Get access to this agent

An example run

What happensFor a payment approval control, the agent sampled 40 of 1,900 payments. Three failed with no second approver, 7.5 percent, over the 5 percent threshold. It expanded to 100 with similar payments and found 9 failures, 8 from one branch. It drafted findings and noted the branch. The analyst approved and sent them to the control owner.

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