AssureSwarm

workflow

SOX Deficiency Remediation

SOX Deficiency Remediation carries one control deficiency's full lifecycle — grade, root cause, remediation, validation, and closure. The workflow runs on the deficiency **Issue item** it opens at grading — `issue_type` set to the exact SOX grade (deficiency / significant_deficiency / material_weakness) and `severity` on the mapped AssureSwarm scale — linked to the affected Control(s), the source Control-hosted SOX testing workflow (template kind: sox-testing), and the current-year SOX audit (Audit, `audit_type: sox_testing`); the remediation actions and the validation retest live as steps on this Issue's own workflow. In scope: a single deficiency triggered by a failed test or unresolved exception. It **consumes** the concluded, reviewed failed-test workpaper handoff package owned upstream (SOX Key Control TOD/TOE Test and SOX ITGC Testing) and **hands off** the closed-or-carried deficiency outcome — with its intact severity history and any triggered communication obligations — to Quarterly Board & Audit-Committee GRC Reporting, which aggregates the full deficiency population into the period's ICFR conclusion and audit-committee materials. It exchanges handoff packages with those related workflows rather than duplicating their work.

Record JSON · Open in map · Data retrieval guide

Catalog revision: f368a6cce277037e4b1e1ff46004e3acd295f96c9ac63a411a0e45775a7f468e. A connection does not establish full coverage.

Attributes

domain
sox
department
finance
lineOfDefense
monitor

Details

teams
  • finance
domains
  • sox
standards
  • sox
  • coso-ic
sourceTemplateId
workflow-library:sox-deficiency-remediation
releaseId
sha256:33eb1287dc82bdaa5a9269543a1b855bb71af63c00a848775edb62d5dcbe6949
canonicalUrl
https://assureswarm.com/workflows/all/?w=sox-deficiency-remediation
capabilities
    mappingStatus
    mapped
    lineOfDefense
    monitor
    controls
    • UC-RISK-14
    • UC-AUDIT-17
    roleIntegrity
    activityCount
    0
    ermPhases
      lineRoles
        serviceModes
          warnings

            Source

            No record-specific source URL is provided.

            Download workflow template · Release: sha256:33eb1287dc82bdaa5a9269543a1b855bb71af63c00a848775edb62d5dcbe6949

            Connections