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Trigarc Modules

Design, test, and assure controls with verifiable history across the full control lifecycle.

Controls & Assurance in Trigarc gives institutions a central control library, test scheduling, exception handling, and closure verification with full audit integrity.

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What it actually does

  • Maintains a unified control library with ownership, frequency, evidence requirements, and linked risks.
  • Schedules and executes control tests by control type, function, entity, and review period.
  • Tracks exceptions, root causes, remediation plans, and retest outcomes with hard closure rules.
  • Provides assurance views across first, second, and third-line activities for management and board oversight.

Who uses it

  • Control owners and process owners
  • Second-line risk and compliance assurance teams
  • Internal Audit quality assurance teams
  • Operational risk teams
  • Executive and board oversight stakeholders

Key workflows

Control lifecycle management

  1. 01Define control objective, owner, execution frequency, and evidence expectations.
  2. 02Map control to risks, obligations, and processes.
  3. 03Schedule test cycles with testers, reviewers, and due dates.
  4. 04Record outcomes, classify exceptions, and assign remediation.
  5. 05Retest remediated controls and confirm closure with reviewer approval.

Exception governance workflow

  1. 01Capture failed test evidence and classify exception severity.
  2. 02Assign corrective action plan with accountable owner and target date.
  3. 03Track progress with milestone updates and escalation conditions.
  4. 04Retest and close only when objective evidence meets defined criteria.

Data inputs and outputs

Inputs

  • Control library and process documentation
  • Risk and obligation mappings
  • Test scripts and sampling plans
  • Evidence files and system activity logs
  • Exception and remediation records

Outputs

  • Control effectiveness dashboard
  • Exception and remediation trend reports
  • Control coverage maps by entity and process
  • Assurance summaries for management and board committees
  • Time-stamped control test history exports

Feature breakdown

Control library configurability

Institutions define control classes, test methods, and review cadence based on their operating model and risk profile.

Evidence-backed testing

Each test run captures linked evidence, tester decisions, reviewer sign-offs, and retest outcomes.

Exception closure discipline

Closure policies enforce remediation evidence and approval gates before a control returns to effective status.

Three-lines assurance visibility

First-line execution, second-line monitoring, and third-line assurance outputs are visible in one control context.

Example use cases

  • A bank centralizes branch cash-handling controls and tracks control failures with multi-region remediation accountability.
  • A microfinance group standardizes credit approval controls across field offices while preserving product-specific test checklists.
  • An insurer monitors claims processing controls and escalates repeated exceptions to enterprise operations leadership.

Measurable outcomes

  • 20-35% reduction in control testing rework through standardized templates and evidence capture.
  • Faster exception remediation through accountable workflow and escalation rules.
  • Improved assurance quality with consistent retest and closure governance.
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