Walk a Failed Control From Finding to Fix
Turn a failed SOX control into a root-cause-based remediation plan with retest evidence.
Repeat finding The same journal-entry approval control fails twice, and the remediation is another reminder email. Recurring issues signal that the cause sits in the process, not only in the person. The principle Root cause plus PDCA Find the condition that allowed the failure, redesign the control, then retest operation before closing. Reminder email Fast, but thin. Durable remediation. A fix has to remove or reduce the cause of the control failure. 01 Cause 02 Retest 03 Now you try Step 1 The owner proposes another reminder email. What is stronger?
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