Exam readiness overview
Exam readiness brings your exam evidence into one place in Comma: the record that someone reviewed your communications, a statement of which channels each person is covered on, timed rehearsals of an examiner’s request, and a time-limited seat for an outside auditor.
You find it under Exam readiness in the sidebar.
What’s included
Section titled “What’s included”- Audit preparedness settings - your review cadence, spot-check minimum, reviewer assignment, drill reminders, and the channels every member must be covered on.
- Review periods - review windows that open on your cadence, remind the expected reviewers, and close with a recorded outcome.
- Reports and the evidence packet - six reports for any date range, each as a PDF and a CSV, downloadable one at a time or together.
- Coverage baseline - which members are expected on which channels, and the reasoned exceptions.
- Exam drills - a timed run-through of the requests an examiner usually makes, kept as a record.
- Outside auditor access - a read-only seat for an outside auditor that ends on a date you set.
- Offboarding a member - a recorded departure with an outcome for each of the member’s channels.
Comma provides the records and the evidence. Deciding what is responsive to a request, approving anything before it reaches a regulator, and your supervisory obligations themselves stay with your firm.
Turn it on
Section titled “Turn it on”Comma turns on Exam readiness separately for each team. Email support@commacompliance.com to turn it on. Once it is on, an admin confirms the settings to start review reminders and spot-check sampling.
If Exam readiness is turned off later, its pages and settings are hidden and review reminders stop. Records it has already made are kept.
Who can do what
Section titled “Who can do what”All dates in Exam readiness use your team time zone, set in Settings > Team.
| Task | Admin | Manager | Reviewer | Auditor |
|---|---|---|---|---|
| See Exam readiness in the sidebar | Yes | Yes | No | Yes |
| Change audit preparedness settings | Yes | No | Read only | Read only |
| Generate and download reports | Yes | Yes | No | Yes |
| See review periods | Yes | Yes | No | Yes |
| Change reviewers or close a review period | Yes | No | No | No |
| See the coverage baseline | Yes | Yes | No | Yes |
| Change the coverage baseline | Yes | No | No | No |
| Run a drill | Yes | Yes | No | Read only |
| Open the Auditor Next Week page | Yes | No | No | No |
| Invite an auditor or offboard a member | Yes | No | No | No |
Reviewers do the review work itself. They reach it from Notifications, not from Exam readiness. See What reviewers see.
When an exam is a week away
Section titled “When an exam is a week away”Open Exam readiness > Auditor Next Week. It puts the last-week tasks on one page:
- Run a drill now, so you know how long each request takes. See Exam drills.
- Generate the evidence packet for the exam period. See Reports and the evidence packet.
- Close any open drill follow-ups.
- Name the people on your team who will answer the examiner, and make sure each one has the access they need.
- Invite the auditor. See Outside auditor access.
Only admins can open the Auditor Next Week page.
Related
Section titled “Related”- Audit & compliance reporting - the settings change log, which records every Exam readiness setting change
- Roles and permissions
- Configuring compliance policies - the policies that create the review work