Control Testing Dashboard

Compliance

Control matrix with pass/fail/pending states, evidence attachment, and testing workflow for SOX and operational compliance.

Complex 3 Critical Rules Demonstrated

Regulatory Context

Control testing documentation must meet SOX Section 404 requirements, PCAOB standards, and support external audit evidence requests.

Critical Rules Demonstrated

Standard vs Enhanced Treatment

Standard

Pending

Enhanced

Pending

Live Example

Control Testing Matrix

42 Passed 3 Failed 8 Pending

79% testing complete (42/53 controls)

Control ID Control Name Category Tester Status Evidence Actions

SOX-404.C.01 Access Control - User Provisioning Validate new user access requests require manager approval ITGC

S. Johnson Passed 3 files

SOX-404.C.02 Change Management - System Updates Verify all production changes follow approval workflow ITGC

M. Chen Failed 5 files

SOX-404.F.01 Financial Close - Journal Entry Review Test journal entries over $10,000 have supervisor approval Financial

E. Rodriguez Pending 0 files

SOX-404.O.01 Segregation of Duties - Payment Processing Verify payment initiation and approval are segregated Operational

D. Park Passed 2 files

Brand Rules Applied

COLOR-001: "Pending" status uses Navy text on Citrus background for proper contrast
ICON-001: All icons use outlined style - checkmark, x-mark, clock, attachment icons
A11Y-001: Control status has text labels (Passed/Failed/Pending) alongside icons for accessibility

Code Example

<!-- Status badge with icon and text - A11Y-001 -->
<span class="status-badge pending">
  <!-- Outlined icon - ICON-001 -->
  <svg fill="none" stroke="currentColor">...</svg>
  Pending
</span>

<style>
  .status-badge.pending {
    /* Navy text on Citrus - COLOR-001 */
    background: rgba(171, 221, 101, 0.3);
    color: var(--as-navy);
  }
</style>