The review package should let another person follow the test from control to evidence. The Control Tester records what was examined, while the AML Program Manager decides when the assessment is ready to submit. The Independent Reviewer evaluates that package and records the business decision.
AML Program Manager moves the Planned assessment into Testing under the agreed plan. Control Tester links each sample to its assessment and control. Record the sample revision and test date so later corrections can be distinguished from the original work.
Control Tester records sample size, exception count, result and evidence reference. The exception count cannot exceed the sample. Review requires an inspectable evidence reference for every performed sample, including Fail and Inconclusive outcomes. Keep unperformed work Pending, and attach supporting material with the agreed visibility.
AML Program Manager checks the testing against scope and moves the assessment from Testing to Review. Identify any findings that need attention. Confirm that the revision presented to the reviewer matches the evidence package being discussed.
Independent Reviewer records Approve, Reject or Return with a reason against the source revision. Approval moves the assessment from Review to Approved. Where findings require corrective work, move the approved assessment into Remediation. Rejected or returned work stays in Review until corrected evidence is resubmitted.
And how to keep it from happening.
Start free, then use Proto to change fields, steps and approvals before your team goes live.