Upon completion of a control, you have the option to lock said control, which allows you to freeze the sign-offs, documents, and review notes for the control, in order to help keep documentation audit-ready!
A control will be considered completed when the following parameters have been met:
- All assignees have signed-off on the control
- All affiliated Review Notes are Closed
- Any linked Checklist items or Reconciliations must also be signed-off upon
Admins and Managers will be able to lock/unlock any item. Other users will be able to lock/unlock those items that they are assigned to.
Locking Controls - Individual View
If you’re an assignee to a control, you will be automatically prompted to lock that control once it’s been completed.
If you aren’t ready to lock the control when the automatic prompt is generated, you can always do so later when viewing the individual control.
If the control has already been locked, then you can click the same icon in order to unlock the control again. You will receive another prompt asking you if you’d like to proceed.
Looking at the Period Sidebar on the Control Evidence page, you’ll immediately see which Periods have had their controls completed and locked via the green check mark and the lock icon.
Hovering over the lock icon from the sidebar or above the Control Evidence will display a timestamp of when the Control was locked.
Locking Controls - From Controls Overview
You can also lock completed Controls from the Controls Overview page. For any items with a Complete status, you will be able to lock/unlock them by clicking the lock icons. Hovering over the lock icon will again display a timestamp of when that control was locked and by whom.
