A finding remains accountable through the work intended to resolve it. The Remediation Owner supplies completion evidence; the Independent Reviewer tests the result. Before accepting that retest, confirm the assessment carries its reviewed approval, positive revision and resolved business period.
AML Program Manager records the finding's severity, description and control. Remediation Owner prepares a corrective action with a due date. AML Program Manager moves the finding from Open to Action planned; Remediation Owner begins the action from Planned to In progress when work starts.
Remediation Owner records what was done with the actual completion date and supporting evidence. Move the action from In progress to Submitted. The submission asks for verification and leaves the finding unresolved until the independent check establishes an outcome.
Independent Reviewer checks the parent assessment's approval and period, then records the retest date, result and evidence. Move the finding into Retest. Fail or Inconclusive keeps it there for further work; neither result supports closure merely because the action has a completion date.
Independent Reviewer evaluates a passing retest and approves verification of the submitted corrective action. Move that action to Verified and the finding from Retest to Closed. AML Program Manager closes the assessment only after reconciling unresolved findings and operation outcomes.
And how to keep it from happening.
Start free, then use Proto to change fields, steps and approvals before your team goes live.