Control Execution

To see the Execution of a Control in the Compliance Management Module, navigate to the Controls tab, and click Filter.

Using the Status dropdown, you are given six options. 

1. Complete: Shows all Controls that are linked to a Checklist or Reconciliation where the Checklist or Reconciliation task has been signed off in FloQast.
2. In Progress: Shows all Controls that are linked to a Checklist or Reconciliation but have not been signed off yet in FloQast.
3. Unassigned: Shows all Controls that are not supported by a Checklist or Reconciliation item in the application, or do not have an preparer and/or reviewer assigned in the Controls module.
4. No Evidence Required: Shows all Controls that do not require a sign off.
5. Late: Shows all Controls whose due date has passed.
6. Due Soon: Shows all Controls that are due in the next 7 days.

The “Sign-off Status” column is an easy view of how many Checklists and Reconciliations are linked to each Control and if they are complete. It will also show how many Control Sign-offs are complete for a Control. The badge at the top will show the applicable status from the menu above.