Remediation and Retesting

A completed corrective action is a claim that work has been done. An independent retest checks whether that work resolved the finding. The Remediation Owner records the action and completion evidence, while the Independent Reviewer evaluates the result against the finding and control. This gives the AML Program Manager a clear basis for closing the assessment.

Keep the finding’s severity and description visible during the work. A Critical finding should remain identifiable when its action is submitted for verification. Closing an action without understanding the original control failure can leave the team with a tidy queue and an unresolved assessment question.

• Finding and assignment. Record the finding against its assessment and control. Move it from Open to Action planned when the Remediation Owner has a defined corrective action. Set a due date that the owner understands and can explain to the program manager.
• Action evidence. Track work through Planned and In progress, then submit the actual completion date and evidence. Submitted signals a request for verification. The owner should show what changed and how the reviewer can inspect it.
• Independent retest. Record the reviewer, test date and evidence with Pass, Fail or Inconclusive. A passing retest supports verification and finding closure. Failed or inconclusive work stays available for further investigation and another corrective effort.

Agree how the team writes a useful corrective action and what evidence will demonstrate completion. Confirm that the reviewer is independent of the action owner. Before accepting retest evidence, check the assessment’s reviewed approval, positive revision and resolved business period.

Decide how to handle overdue work and how a failed retest returns to the owner for further attention. Keep earlier results available when a later attempt succeeds. The team needs to understand the sequence without treating a new completion date as proof that the previous failure never happened.

Take a finding about missing evidence of alert review. The Remediation Owner updates the working procedure and supplies completion evidence, then submits the action. The Independent Reviewer samples the corrected work and records an Inconclusive retest because the material does not yet establish the outcome. The finding remains in Retest.

After further work, record a passing retest with supporting evidence. Verify the submitted action and close the finding only after that review. Ask the AML Program Manager to trace the original finding through both retest outcomes before closing the assessment. The demonstration should make clear which evidence supported the final decision and why completion alone was insufficient.

• Open Findings — Review unresolved findings by severity, assessment and control.
• My Corrective Actions — Follow assigned corrective work with due dates and completion evidence.
• Submitted Corrective Actions — Inspect work waiting for independent verification.

Rehearse remediation to retest and use the reporting guide to review overdue work alongside finding severity.