FloQast now offers Certifications for Control Reviews, allowing the recipients of said Certifications to propose changes to existing controls that they own. Admins and Managers can then review these proposed changes and accept or reject them.
Creating a Certification for Control Reviews
When creating a new Certification users will now see the option to select Type. If Controls Review is selected, the creator can then Select Controls before proceeding.
You will have the option to add optional questions to the certification for recipients to answer. Clicking the question type dropdown menu will allow you to choose either multiple choice or short answer as the question types. If added, the recipients will have to answer these questions after reviewing the selected Controls.
Lastly, you will need to select your recipients. You can choose either Primary Control Owner or Secondary Control Owner for a given Control. FloQast will automatically leverage the existing owners from the Controls module, so you will not have to create these assignments separately. You can then select when Initial Notifications will be sent to your recipients.
If you wish to see which Owners have been assigned to the Controls in question, clicking View Assignments will pull up a list of said Owners. Clicking on the > sign next to an Owner’s name will expand the list of Controls from the selection that have that user as a Primary/Secondary Owner
Once you click Submit Certification, the Certification will appear in the dashboard of the Certification module, just like any other certification.
After the Certification for Controls Review has been Responded to
Once the recipients complete the Certification, any Proposed changes will appear as such on the Certifications dashboard, visible both in the Action Items graph and within the individual Certification’s description.
Clicking into an individual Certification will then allow you to drill down into the various components.
You’ll be able to:
- Filter Results by Recipient, displaying that Recipient’s Certification Results
- Flip between viewing Controls reviewed and Questions answered
- Review any of the Proposed Changes from said Recipient
The Proposed Changes column will display whether an item still requires review or if it is already completed.
When you click the Review button you’ll see all Proposed Changes for that Control. When reviewing the changes, all items that are marked with a checkmark will be accepted, while all items that do not will be rejected. As an Admin/Manager, you can also Edit the Proposed Changes via the corresponding button.
Once complete, you can Apply the changes.
As a final step, you’ll be shown a brief overview of the decisions made before you can Confirm Changes
If you prefer to see all Action Items at once, rather than filtering Results by Recipient, you can navigate to the corresponding tab to see all items in list form regardless of the recipient.
You’ll also be able to flip between Proposed Changes and Exceptions on this tab.
