Remediate the Root Cause, Not the Symptom
Draft a SOX remediation plan with root cause, redesign, retest evidence, and closure criteria.
A quarterly access review failed because a terminated user remained active, and the initial remediation says only "retrain reviewer." Root cause -> redesigned control -> interim coverage -> retest evidence -> closure criteria. The common trap is blaming the person closest to the failure. If the population was incomplete or the workflow allowed exceptions to age silently, retraining may make management feel responsive while leaving the SOX risk intact. Before Action: retrain reviewer. Evidence: meeting invite. Closure: owner says complete. After Action: change extract timing, reconcile HR terminations to ERP users, review unmatched users, evidence two clean cycles, and document…
Sign up free — one personalized lesson every day, matched to your role and goals.
Already have an account? Sign in