KPIs

Segregation of duties exceptions

Count of entries or reconciliations where preparer and approver were the same person, or approval preceded submission.

Formula

Count where prepared_by = approved_by, or approved_at < submitted_at

Illustrative target

Zero

KPI cautions1
  • A zero count is taken as proof the control works, when it may mean the control is not being tested or is enforced only by convention.
KPI lifecycle stages1