Respond to a pre-audit control gap with containment, root-cause assessment, and documented remediation.
The gap One monthly reconciliation lacks reviewer sign-off three weeks before fieldwork. The team can still assess and fix the issue before it becomes an auditor-discovered surprise. PDCA under audit pressure Plan, Do, Check, Act for control gaps Treat the gap as a controlled improvement cycle, not a papering-over exercise. Shortcut Backdate a signature and hope nobody asks. A gap story that shows management control. A transparent fix is stronger than a quiet patch. 01 Assess 02 Fix 03 Prevent Plan The owner says the review happened verbally.
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