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The Top Failed Controls — and How to Clean Them Up

Intro:
A compliance risk assessment is like a smoke detector — it doesn’t put out fires, but it tells you where the heat is. The problem? Many organizations hear the alarm but don’t take action. Below are the top failed controls we see across industries, and practical ways to resolve them quickly and confidently.

Top Failed Controls & How to Clean Them Up

1. Outdated or Missing Policies

Why it fails: Policies are either not reviewed annually or completely missing (especially in areas like data retention or remote access).
Fix it:

  • Use The Guard’s Policy Manager to set review reminders.

  • Assign owners to each policy.

  • Start with high-risk policies (e.g., privacy, incident response).

2. Incomplete Risk Assessments

Why it fails: Assessments are done once and forgotten, or never completed end-to-end.
Fix it:

  • Use the Risk module in The Guard to complete all steps.

  • Review your responses with your internal IT/security lead.

  • Attach supporting documentation for each control to build audit readiness.

3. Missing or Stale Vendor Reviews

Why it fails: Organizations forget to assess vendors annually — especially smaller ones or one-time service providers.
Fix it:

  • Filter vendor list by last review date and flag anything over 12 months.

  • Request updated documentation (SOC 2s, BAAs).

  • Log notes and documents in The Guard for continuity.

4. Training Gaps for Employees

Why it fails: New hires aren’t enrolled, or departments skip annual training.
Fix it:

  • Ensure all employees are added to The Guard’s training workflows.

  • Use auto-enroll rules for new users via HRIS integration.

  • Track completions and resend to those not compliant.

5. No Evidence of Incident Response Testing

Why it fails: Even with an incident plan, most orgs don’t test it. Auditors flag this quickly.
Fix it:

  • Schedule a tabletop drill and log the activity in The Guard.

  • Document what went well and what didn’t — it shows maturity.

  • Update your plan based on the outcomes.

How to Stay Clean: Prevention Tips

  • Quarterly Reviews: Build a 15-minute “risk touchpoint” into your leadership meetings.

  • Assign Owners: Every control should have someone responsible — even if it’s “nothing to report.”

  • Use Notifications: The Guard sends alerts when tasks, reviews, or policies are overdue — act on them.

  • Report Up: Share a snapshot with execs — not just issues, but improvements too.

Final Thought:
You don’t have to be perfect to be compliant — but you do have to be accountable. The Guard gives you the tools; all that’s left is to take action. Let’s clean house.