How to raise a corrective action during test review

Use this workflow when a compliance test review turns up an item that isn't just a rubber stamp — something the item's owner actually needs to go fix. Raising a corrective action from within the review notifies the owner, records the issue on the test run, and holds up approval of the review until the corrective action is cleared.

Finding the review

Start from the Tests view under the testing program, which lists every compliance review across the firm along with its status. Look for an entity with an overdue or incomplete test run — the entity's row will show the review is still in progress, with one or more items still open and waiting on a decision.

Open that entity to see its test runs, then open the specific review that has an open item. The review's progress indicator shows how much of it has been completed and flags that at least one item still needs your attention.

Flagging the item

Inside the review, switch to the Tests tab. This is where each question or task in the test run is listed along with any answer already submitted, and it's where the item that needs follow-up will be visible.

Under the flagged item, you'll see two review options: No objection and Requires attention. Click Requires attention to open the outcome dialog, which asks you to choose between two outcomes:

• Corrective action — asks the owner to fix something. This creates a corrective action, notifies the owner, and blocks approval of the review until the corrective action is cleared.
• Business risk acknowledged — accepts the issue as a known risk. The owner is notified, but no corrective action is created and the review can proceed.

Select Corrective action to expand the corrective action form.

Completing the corrective action

Fill out the form that appears:

1. Severity level (optional) — choose Low, Medium, High, or Critical so the issue is prioritized appropriately. Medium is a reasonable choice for something that needs fixing but isn't urgent.
2. Corrective action owner (required) — the employee responsible for resolving the issue. This defaults to the test's existing owner if one is set, but you can choose someone else.
3. Corrective action due date (optional) — gives the owner a clear deadline. Note that this date needs to fall before the reviewer's own due date, so there's still time to review the fix once it's submitted.

Next, use the Corrective action text field (required) to spell out exactly what's missing and what needs to be corrected — this is the description the owner will see. You can also add an optional note for additional context, and attach supporting evidence files if needed (up to 10 files, 50 MB total).

When everything is filled in, click Send for corrective action. You'll see a confirmation that the submission went through, and the owner is notified that they have a corrective action to resolve.

What happens next

The corrective action now appears on the flagged item, showing its description, severity, due date, and owner. The review can't be approved until the corrective action is cleared — once the owner has addressed it, you can revisit the item and record a new outcome to move the review forward.