Control Diary
Track control activities, audit observations, findings, and remediation actions
23 Unauthorized CAB Bypasses Detected
AI analysis identified 23 production changes deployed without CAB approval. 8 changes affected SOX-critical financial systems. Recommend immediate change freeze and retroactive CAB review.
SOX AC-02: Access Termination Testing
Sampled 50 terminated employees from HR records. Cross-referenced with AD accounts. Found 45 accounts still active averaging 18 days post-termination. Control rated as INEFFECTIVE.
SLA Timer Manipulation Pattern Detected
NEXUS AI flagged 12 technicians with anomalous SLA pause patterns. Statistical analysis shows 67% pause rate vs 8% team average. Recommend HR investigation and process control enhancement.
Implement Emergency Change Workflow
To prevent future CAB bypasses, recommend implementing a formal emergency change process in ServiceDesk Plus with mandatory retroactive CAB approval within 24 hours and auto-escalation.
Complete Retrospective RCAs for P1/P2 Incidents
47 P1/P2 incidents closed without root cause analysis. Action: Complete RCAs for all 47 incidents by Dec 15. Priority given to 12 incidents affecting financial systems (SOX scope).
Missing Backup Verification Logs
Backup verification logs were incomplete for Q3 2024. Implemented automated verification with Zia notification alerts. All backups now verified within 24 hours with evidence auto-collection.