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Operational tool · Investigation & Audit

Audit-to-investigation escalation test

Support the decision on when an audit finding requires more than remediation and should become an independent investigation.

Audit → investigationLucenOne working template · adapt to the applicable framework
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Escalation signals

  • Is the issue recurring?
  • Is falsification or concealment plausible?
  • Could there be a conflict of interest?
  • Does a control appear to have been bypassed?
  • Could evidence disappear?
  • Is the human, financial or regulatory exposure high?

Decision

Objective observations
Alternative explanations
Decision: enhanced audit / investigation
Reason

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